Suleman Din

Looking at the range of services received by clients in all advisory channels, traditional wirehouses take the lead in catering to high-end client needs, according to research from Cerulli Associates.

Stifel Financial brings in a veteran Morgan Stanley advisor for a newly created client office in West Chester, Pa.

Ameriprise and one of its advisors were fined by FINRA after an investigation revealed the advisor doctored client documents and the firm kept quiet about the changes.

A former UBS broker was ordered to pay back the wirehouse $1.75 million of his recruiting bonus – the third such million-dollar judgment against him this year.

FINRA barred a Chicago-based broker after it was discovered he transferred over $1 million from client accounts into his own over a number of years.

The pool of FINRA arbitrators lacks diversity, and may be biased as a result, claims an investor advocacy group.

An advisor pair that jumped to Merrill Lynch after just four months with Barclays must pay back over $6.6M in hiring bonuses, FINRA rules.

Raymond James reshuffles its divisions, leading to several management appointments.

A former Morgan Stanley advisor must pay the firm nearly $200,000 in owed bonuses, FINRA ruled.

A FINRA arbitration panel ruled a broker caught in an insider trading scandal must pay back over $3 million to Morgan Stanley.

The search among internal candidates continues for a new head of the dispute resolutions unit.

Two advisors with $80 million in AUM leave Wells Fargo for RBC Wealth Management.

Female executives from U.S. Trust and Goldman Sachs join New York-based Dynasty Financial Partners.

Barclays settles for $15 million after the SEC found its compliance system inadequate following its purchase of Lehman Brothers' wealth advisory business.

Consumer and industry advocates are criticizing FINRA over its alternative to a proposal that would have required recruiting firms to disclose advisor compensation incentives to clients when moving between brokerages.

Unknown health care costs are regarded by many as the biggest threat to retirement plans. At the same time, shifts in the industry are changing advisors' options to help clients plan for the costs of extended health care. Here are the most critical factors advisors should keep in mind about long-term care.

Morgan Stanley hired a team with $4.5 billion in AUM – the second multi-billion-dollar team plucked from Merrill Lynch this month.

Wells Fargo continues recruiting from UBS, hiring advisors with a combined $410 million in AUM.

An ex-Morgan Stanley advisor represented himself in a contract dispute with the firm before FINRA, and the arbitration panel assessed him over $200,000 in fees.

A veteran Merrill Lynch advisor with $1.5 million in production joins RBC Wealth Management.