JPMorgan Chase

Wirehouses, broker-dealers and banks unveiled client-friendly policies while asking the agency for further delays.

The wirehouse's latest hire has 21 years of industry experience.

One refused to cooperate with an investigation into allegations that he engaged in unauthorized trading in two customers' accounts.

As second-story advisers, they can focus on servicing their books without the burden of helping the branches with training and sales development.

Nine executives were recently tapped to lead wealth management and related investment services groups at several financial institutions, including Fifth Third, Huntington and J.P. Morgan Chase. Find out who they are and what their new roles entail.

The rep declined to provide the regulator with documents it needed to investigate allegations that she converted $13,000 for personal use.

First-quarter revenue jumped 9% year-over-year even as the number of advisers fell by 10%.

The firm previously told some customers they would be transferred from their advisers to a self-managed system, but then backtracked and said it's holding off on the changes.

The regulator now has punished just one known person associated with the bank's admitted nationwide fiduciary violation: the RIA who flagged abuses.

The rep was suspended for 15 months and fined $15,000 for engaging in the purported scheme and accepting a $50,000 cash gift from a customer, FINRA claimed.

Which firms showed “meaningful progress” in improving client experience? And which one slipped?

Wealth management executives command large enterprises at many financial institutions and are getting paid handsomely for it.

To save time and money, the megabank is embracing machine learning-driven tools.

The rep initially alleged his wallet had been stolen and someone forged his signature. He later claimed he must have been drugged.

The unique offering comes amid concern that President Trump will renegotiate NAFTA. Plus; other fund launches.

Organization takes the case "to put a spotlight on a bank that may have engaged in misconduct more significant than Wells Fargo's."

FINRA chided the rep for following through on trading instructions received via email from bank employees without confirming the transactions with the customers.

Seven former private bankers said they functioned less as advisers than as salespeople.

FINRA barred the former J.P. Morgan rep for allegedly using customer debit cards to steal $1,002.

Revenue increased 4% from 2015 even as the number of advisers fell by 10%.