Organization Root Tag

The elite firm’s latest recruit is an industry veteran and former Desert Storm Marine.

One of the recruits began his career in the late 1980s.

The firm failed to detect one of its registered representatives converting $370,000 in client funds for the rep's own use, according to the regulator.

The boutique firm focuses on ultrahigh-net-worth entrepreneurs worldwide.

Alexander Assaf will oversee financial advisers and their teams for the credit union's Addison Avenue Investment Services division throughout Idaho, Oregon and Washington.

The recruit also previously worked for Morgan Stanley, Merrill Lynch and RBC.

See which independent broker-dealers are managing the biggest asset base for client accounts.

Plus, Wells Fargo hires a $700M team from J.P. Morgan Private Bank and helps a $587M Morgan Stanley team go independent.

The lender eliminated production goals in effort to reassure regulators, lawmakers and customers after employees opened more than 2 million accounts without clients’ approval.

The bank can adapt to adjustments needed to deal with claims it opened 2 million customer accounts without authorization, according to CFO John Shrewsberry.

How a close relationship with his planners has made Edward Sudzina one of the industry's top leaders.

How specialty areas are helping this elite group of 20 advisers boost business.

Regulators should step up their inspections of digital advisers as these tools surge in popularity, the firm said.

The Treasury will soon crack down on valuation discounts. Here’s what it means for your ultrahigh-net-worth clients.

The Swiss firm alerted brokers that they may take their disputes to FINRA instead of resolving them in a private forum set up by the company.

A settlement with Bank of America covers 270 employees who were terminated following the wealth management firm's 2008 acquisition.

Central bankers began mulling a hike sooner, than later, causing the S&P 500 to fall 2.4%, its biggest weekly drop since February.

‘Is there life after leaving a firm you founded — other than playing golf?’ Tim Kochis, formerly of Aspiriant, answered his own question by launching a venture that has one foot in Asia.

Will the rally continue, or are the winning ways of this asset class nearing an end?

The regional brokerage is the latest to incur a penalty for failing to waive fees on Class A shares sold to eligible institutional clients.