Bank Channel

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.

We've reshuffled our Top 100 bank advisors to list them by annual production. Here are the top 20.

Many advisors in branches today "don't want to ride the circuit and go to three other branches and have smaller-dollar clients," says industry observer.

The country’s sixth-largest IBD is shifting its management ranks in a change prompted by the fiduciary rule.

Rob Comfort will lead sales operations and develop the firm's network of 400 advisors at more than 250 credit unions nationwide.

The execs were moved up to roles overseeing key markets in the New York Tri-State and mid-Atlantic regions.

The deal will give the firms more resources to boost their technology and spur growth, according to an industry observer.

The rep took more than $1,500 from the bank's cash drawer over a three-month period beginning on New Year's Eve last year, FINRA claimed.