Industry

Kevin Keefe replaces Adam Antoniades as RCS boss shuffles executives for the first time since buying five IBDs.

Dynasty began to "unwind" its service agreement with Further Lane following SEC actions against the firm in late October 2013.

A former Morgan Stanley advisor team that managed $600 million in assets has left the wirehouse to join forces with HighTower.

Former wirehouse complex manager Tony Sirianni launches Sirianni Strategy Group, a consulting and marketing firm, to help independent firms attract wirehouse advisors.

Record net income from UBS Wealth Management Americas contributed to strong quarterly earnings for the Swiss bank.

Two former wirehouse advisors that managed more than $80 million in client assets have left Wells Fargo to join Raymond James & Associates, the firm's traditional employee/broker-dealer.

Douglas Cowgill, the firm's president and chief compliance officer, attempted to disguise the shortfall from SEC examiners by entering a fake trade in the firm's account records, according to the SEC complaint.

Barclays Plc, Credit Suisse Group and UBS will face questions this week about key banker departures, legal challenges and their efforts to boost profitability.

Warren Buffett, who invested $5 billion in Bank of America, said he's confident the lender will overcome an accounting mistake that forced the firm to suspend an increased payout to shareholders.

FINRA's broad brush strokes smear good advisors as well as the bad ones. Here are five ways that the regulator, and the industry in general, tars those advisors who uphold the law and act responsibly with the same brush.