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The bank hired its first chief investment officer seven months after recruiting the former leader of a family office to a new post as national head of investments.

Dan Moisand's firm joins the Institute for the Fiduciary Standard's new listing. Moisand is a former CFP Board official and ex-president of the FPA.

The new hires opened two offices for the regional BD.

The fast-growing firm has recruited 25 advisers this year, and is affiliated with Raymond James.

Lawyers have filed FINRA arbitration claims alleging the bank deprived them of their bonuses.

Her proposal to expand a probe into possible sales abuses was met by resistance from an executive who didn’t want to alienate the bank.

Here's how clients can boost their returns before the president-elect enacts the reforms he's promised.

"I lose years of my life. They can settle, write a check and move on," says an adviser whose book of business dropped by $40 million after he alleges he was wrongfully terminated.

The allegations come a year after the firm paid over $300 million to resolve regulators' claims that it failed to tell wealthy clients it was steering them into its own funds.

Will Chief District Judge Barbara Lynn be the first to rule against the regulation? Opponents of a case in Texas federal court have high hopes.

Help clients avoid costly mistakes when enrolling in these essential programs.

A 7.3% hike warrants attention, and advisers can help ease the transition.

The legal setback for the rule's foes still leaves three ongoing court challenges, as well as an uncertain future after Trump takes office.

The wirehouse will leave its core pay grid untouched for 2017.

Many would argue the retirement fund is archaic, inelegant and user-unfriendly. Is it time for something new?

Collectively, this year’s mega movers managed more than $23 billion in client assets.

The group of industry veterans had $1.7 million in annual production, according to the regional BD.

The regulator is concerned that Wells Fargo did not follow proper procedures in notifying former reps of their U5 filings and that the information contained in them was not correct.

Given how dysfunctional many families are during a crisis, a lack of coordination of agents can sow even more financial confusion, and even conflict.

From regulators to technology providers to CEOs, these are the players who will remake wealth management in 2017.