Bank channel

“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.

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.

The most important consideration when changing firms is not to tell anyone, other than your spouse, business coach or consultant. An advisor should never mention a move being contemplated.

Becoming a top producer and a respected professional isn’t an endpoint, it's a process. And successful advisors, who are always thinking five years ahead, have a definite plan to get there.

There aren’t enough hours in the day to get everything done, and it’s easy to get distracted by all the things that come up unexpectedly during the day. But successful FAs are able to minimize distractions and focus on critical tasks.