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Steven J. Dunkelberg was barred for allegedly swiping nearly $5,000 from a bank customer's account. He's the third rep to be ousted from the industry this year.

Following a favorable IRS ruling, the popularity of these retirement plans has been on the rise. Here's what advisors need to understand about offering them to clients.

Just after a $150 million deal to acquire rival Sterne Agee was announced, quarterly profits in the firm's wealth management division were up 6.5% year-over-year.

Arthur Tambaro thought his career was over just a year ago. But his latest move makes sense in his career path, he says.

Citi Private Wealth advisor Bernard Reina used to be reluctant to join a team, but after his hand was forced he's now a major advocate.

Taking a simple approach hasn't hindered performance at Neil Hennessy's firm, which reported $5.9 billion in assets under management at the end of 2014, a 33% increase from the previous year. In the first part of a conversation with Money Management Executive, Hennessy discussed his firm's approach and why it shuns some market trends.

Retail advice revenue accounted for roughly two-thirds of RCS's total full-year revenue of $2.8 billion, but the company's 2014 loss was almost 100 times greater than in 2013.

John Stanton Verble is suing Morgan after he says he was fired for helping federal authorities investigate one of the firm's clients.

The two new hires managed about $210 million in client assets while at Morgan Stanley.

Investment advisors should act in their customers' best interests, President Obama says. Here's how they don't, and how it can hurt investors.