Bank channel

The regulator claimed he sold $2.63 million in equity-indexed annuities without disclosing the business to his employer, U.S. Bancorp Investments.

The new platform offers the convenience of a brokerage account without incurring any of the fees that go with it, the companies say.

The rep purportedly received an email from the impostor requesting that she sell securities to fund the wire request to a third-party in the United Kingdom.

The broker declined to appear for on-the-record testimony regarding expense reimbursements that SunTrust alleged were not valid expenses, according to FINRA.

The broker recommended that a recently retired couple invest $135,000 in a non-investment grade municipal bond intended only for sale to institutional buyers.

Thomas Fickinger managed over 1,350 advisors generating $1.5 billion in revenue in 2016.

The firm's latest hires include an industry veteran of nearly four decades of experience.

U.S. Bank hired an executive to lead the fledgling Business Owner Advisory Services group on a national level.

SunTrust Investment Services collected more than $1.1 million in avoidable 12b-1 mutual fund fees from more than 4,500 accounts, the SEC charged.

We've reshuffled our top 25 program managers to list them solely by average production per advisor. Here are the top 15.

“We’ve been very focused on opening every drawer and turning over every rock in the company,” CEO Tim Sloan said.

The program rejoined Cetera's platform after a brief six-month stint with LPL.

FINRA claimed the broker attempted to secure a buyer for 10 sellers of Iraqi dinar currency in anticipation of a finder's fee.

The new offering has been rolled out to roughly half of the 2.65 million households the bank serves, with the remainder to come on board by the end of September.

The broker used the customer's money to buy two apartments in his name, rather than the customer's.

Which banks are advisors moving to? One recently jumped to Woodforest National Bank from Merrill Lynch. Eight others switched to Arvest Bank, Northern Trust, Union Bank, U.S. Bank and Wilmington Trust from myriad financial services firms.

Six executives were recently tapped to lead wealth management and related investment services groups at several financial institutions, including Umpqua Bank, U.S. Bank and CUNA Brokerage Services. Find out who they are and what their new roles entail.

The rep ignored FINRA's repeated requests for documents it needed to investigate allegations that she made inaccurate statements on a mortgage gift letter.

Quietly, Invesco's robo advisor has scored IBD and brokerage clients.

Shelley Steuer Freeman, the bank's former Los Angeles regional president and head of Consumer Credit Solutions, was barred for refusing to provide FINRA with documents it requested.