Organization Root Tag

The team leader is an industry veteran who spent 23 years at Wells Fargo and its predecessor A.G. Edwards.

How clients who get a head start covering certain costs can boost deductions. Plus, breaks that will likely disappear when Trump takes office.

Daniel Farley will lead a team of wealth management professionals serving wealthy clients in the greater Minneapolis-St. Paul area.

Stocks added to gains that pushed four major equity benchmarks to simultaneous records for the first time since 1999.

Edward "Ned" Johnson, 86, is retiring and will become chairman emeritus.

The major U.S. equity benchmarks rallied together to their all-time peaks for the first time since 1999.

Keith Banks, president of U.S. Trust, is getting new responsibilities at the firm.

The former broker is accused of making false claims about his client list at Stifel to earn a compensation advance from another firm.

The regional firm recruited its first adviser for Alex. Brown since acquiring the unit in September, and will reopen an old office in Annapolis, Maryland.

The group, led by two brothers, joined the firm as partners and opened a new office for Noyes. It's now the firm's largest branch.

The wirehouse's moves are intended to remain competitive in the recruiting contest for top brokers.

Nunag will oversee client relationships, product development, marketing and sales in the New York City area.

FINRA alleged he communicated with customers about standby letters of credit and bank guarantees outside the scope of his authority.

The move limits the bank’s ability to make golden-parachute payments and requires regulator approval before executives are hired.

"Advisers cannot just sell an all-Vanguard portfolio and hope to afford their fee," says Jonathan Steinberg, WisdomTree's CEO.

What Trump and rising interest rates may mean for advisers.

Robert Peyreigne was hired to fill the role after Michael Armstrong departed Jefferies for RBC earlier this year.

The firm was fined $1.57 million and must pay clients another $1.85 million for related infractions, the regulator said.

Trump has proposed making it easier to pass on HSAs to heirs, while some House Republicans want to nearly double contribution limits.

The planners left J.P. Morgan, UBS and Merrill Lynch to go into business for themselves.