Industry

Wells Fargo, Morgan Stanley, Bank of America and J.P. Morgan Chase were among the dissenters, people familiar with the matter said.

The wirehouse was hit with sanctions from the SEC and FINRA for disregarding securities rules, misusing clients’ cash and not disclosing product costs.

A court will soon decide if an appeal by Jeffrey and Kimberly Camarda, who allege mistreatment by the professional organization, can move forward.

These firms reported the highest share of accounts topping $100,000.

The brokerage firm promoted one of its own to replace a retiring senior vice president, while picking up two branch managers from rival firms.

Founder of ultra-HNW boutique starts team meetings with discussions about members’ outside lives before moving on to clients.

Eleven executives were tapped this year to lead wealth management and related investment services groups at Key Private Bank, Regions Bank, U.S. Bank, Wells Fargo Private and Wilmington Trust. Find out who they are and what their new roles entail.

Sandra Pierce will assume her role once Huntington completes its acquisition of FirstMerit.

Some call it 'relentless,' but scouting for the best candidates has resulted in a better array of services from the industry's top firms, says leading recruiter Mark Elzweig.

If done in a disciplined, thoughtful way, financing can play a pivotal role in the successful launch of a new independent RIA.