Bank channel

The wealth manager opened a new office in northern Virginia and expects to hire 8 new advisers over the next couple of years.

The regulator reprimanded Citizens’ retail brokerage for not amending reps' Forms U4 and U5 within 30 days of learning of complaints.

The rep purportedly stole $8,700 from an account funded with donations, according to FINRA.

Revenue in 2016 from the retail brokerage business slipped 6% to $281 million from $300 million in 2015.

While fourth-quarter revenue from brokerage services posted a sharp 20% over-over-year decline, the overall wealth management business still managed to come out ahead.

The large community bank will look to LPL to help the investment services business meet the requirements of the fiduciary rule.

11 executives were recently tapped to lead wealth management and related investment services teams at Bank of the West, BNY Mellon, Key Private Bank and U.S. Bank. Find out who they are and what their new roles entail.

Fourth-quarter revenue jumped 19% year-over-year, while profits soared 57%.

We've reshuffled our top 100 bank advisers to list them solely by assets under management. Here are the top 25.

Revenue increased 4% from 2015 even as the number of advisers fell by 10%.

Which banks are advisers moving to? 15 recently jumped to BNY Mellon, U.S. Bank and M&T Bank from myriad financial institutions.

FINRA accused the rep of "structuring" transactions by making cash deposits into her personal savings account in amounts under the currency transaction reporting threshold of $10,000.

Scott Fleming, the former head of the firm's Rocky Mountain region, now oversees nearly 150 sales professionals across the U.S.

Succession planning is thwarted by most bankers' high-handed attitude that they own the client relationship. Realities on the ground are more nuanced.

The bank implemented the program to compensate advisers as they transition their books to other advisers, while ensuring that their clients are left in good hands.

Advisers at a bank may have to shift to another channel for a few years before retirement, says contributor Rick Rummage.

When advisers quit, banks lose revenue even when they hire replacements. The present value of that lost revenue averaged $2 million, according to a study by Kehrer Bielan.

The differences between Trump and Obama are numerous, but both share disgust with the irresponsible behavior that led to the 2008 financial crisis.

The brokerage firm processed a number of securities transactions that facilitated conversions of foreign currency from or into U.S. dollars, FINRA claimed.

Karen Wimbish will lead teams responsible for investment and banking product offerings as well as planning platforms and product technology across all client segments.