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This is the third such suit the bank has filed against former advisors in recent months.

With Elad Roisman’s appointment, Republicans could have a big advantage at the SEC by year end.

Two wirehouse advisors left the Charlotte branch one Friday afternoon, for separate firms.

Planners ranging from sole practitioners to the largest OSJ enterprises welcomed the CEO’s comment that the firm's culture was not aligned with its strategy.

The lawsuit accused JPMorgan of sending white advisors to wealthier places while assigning black colleagues to less lucrative branches and denying them opportunities.

The move is intended to improve operational efficiency.

The rep accepted two loans while employed at Robert W. Baird and later neglected to disclose them to Citigroup Global Markets, FINRA claimed.

The new executive will lead the development of the private bank’s philanthropy and family governance services.

The bank promoted Denver’s regional leader of the business to oversee all aspects of Ascent Private Capital Management nationwide.

The dispute centered on the firm’s handling of Puerto Rican municipal bonds.

The broker-dealer failed to supervise Infinex registered reps selling annuities and other products to seniors and other investors at local banks.

The bank's wealth management businesses earned $205 million on $720 million in revenue in the second quarter.

“It’s not about us getting to them. It’s about them getting to us,” Daniel Darst, chief marketing officer for People’s United Bank, said of client marketing.

The regulator barred an ex-Wells Fargo advisor for fooling the bank into reimbursing him for $3,400 after he falsely claimed that he was the victim of fraud.

The advisor defrauded some 60 victims by using their money to pay off earlier investors, fund his own speculative trading and pay his personal expenses, the SEC claims.

The bank recruited a former executive from Vanderbilt University’s investment office to assume a newly created post directing its third-party manager research efforts.

We took a fresh look at our most recent Top 100 Bank Advisors and re-ranked them based solely on their annual production figures. Here are the top 25.

Community Bank & Trust of Florida switched its program after a 16-year relationship with Invest Financial.

One JPMorgan client thought it was “odd and weird” that the advisor called during the Memorial Day holiday, on behalf of Merrill Lynch.

Such a move would also coincide with efforts to cut costs in the bank's wealth management business by $600 million by 2020.