Suleman Din

An ex-Ameriprise franchise advisor was fined and suspended by FINRA for allegedly copying and pasting client signatures onto documents.

Calling it a good investment, Northwestern Mutual completed its $2.7 billion sale of asset manager Russell Investments to the London Stock Exchange Group after 15 years of ownership.

The holidays are a time for giving. But if advisors aren’t careful, they might end up sending a gift that lands them on a client's naughty list.

FINRA hands out 18-month suspension, $10,000 fine and $233,000 in 'disgorgement' for selling away and nondisclosure issues, documents say.

As the pace of cyberattacks increases, asset managers are taking a hard look at their cyber insurance coverage to make sure that it will cover them should they become a target.

FINRA arbitration panel sides with a former Commonwealth Financial Network client who claims he lost his retirement savings due to bad retirement planning advice.

Advisors examine their positions with Pimco and debate Bill Gross's influence as October saw a record $27.5 billion in outflows from Total Return Fund.

Tash Elwyn, president of Raymond James & Associates, says that while the future of the industry could experience collapse or further consolidation, his firm has found success serving from a unique niche.

Stifel has been busy building its business with little public profile. The firm wants to change that, says President and CEO Ronald Kruszewski, who acknowledges that the lack of attention thus far has probably been a good thing. "You want to be famous; you don’t want to be infamous."

Mary Mack is not only president of Wells Fargo Advisors, she’s a client too. In an exclusive interview with On Wall Street, Mack talks about what it’s like being a Wells Fargo client, the direction of her firm and the changing landscape for advisors.

FINRA promotes Richard W. Berry to lead its arbitration unit.

After a FINRA arbitration panel reached a rare split decision in a contract dispute between Gary T. Padussis and UBS, he calls signing bonuses the ‘dark side of the brokerage industry.’

Ameriprise's executive vice president says the firm has spent a lot of resources, especially in the major markets and major cities, establishing training programs to bring new advisors into this business.

Edward Jones Managing Partner James Weddle says the firm grows organically, recruiting from colleges and even the military for new advisors.

Over the summer, FINRA fined Merrill $8 million and ordered it to pay back $24.4 million for allegedly overcharging for mutual fund fees.

A former BofA Merrill Lynch Team who felt wronged after being terminated has signed on with full-service brokerage firm Stifel Financial.

A majority of American millionaires are donating to charity, though few plan how they give, UBS finds.

Latest Morgan Stanley advisor additions around the country bring a combined $565M in AUM and over $3M in revenue.

Merrill Lynch grows its Chicago presence by hiring UBS team with $500M in AUM and nearly $5M in revenue.

Expanding its advisor ranks, small broker-dealer Jefferies announced the hire of a rio of Barclays veterans that bring a focus on REITs and MLPs.