Industry

The wirehouse recruited two Morgan Stanley advisors, one of whom was previously terminated by Merrill in 2001, according to FINRA records.

Steve Dunlap is one of at least six top leaders who have lost jobs at Cetera or its troubled parent, RCS Capital, during last ten months.

A recruit with 16 years of industry experience moves between wirehouses.

The 30-year industry veteran joined from Bank of the West.

The team left J.P. Morgan Securities to form their own independent firm.

A wealth manager, who once had a $5 billion book and was terminated for "inappropriate workplace behavior," found a new home.

Travails of parent company RCS Capital have been "distracting" but haven't impeded expansion, says Douglas King, Cetera Advisor Networks' president and CEO.

Bennett and her firm claimed to be managing more than $2 billion in assets when the real number was no more than one-fifth of that amount, the SEC alleges.

OppenheimerFunds agreed to acquire VTL Associates as part of a push into ETFs that weigh metrics beyond market capitalization when buying stocks.

New recruits joined the UHNW-focused business in recent weeks.