JPMorgan Chase

OSHA supports ex-broker Johnny Burris’ firing because he allegedly faked company letterhead. Burris says the bank approved the altered letter years before.

The decision vindicates ex-broker Johnny Burris, but also supports the move to fire him. However, a bank document obtained by Financial Planning casts doubts on the reason for his termination.

FINRA accused the rep of "structuring" transactions by making cash deposits into her personal savings account in amounts under the currency transaction reporting threshold of $10,000.

The rep declined to provide the regulator with the documents and information it needed to assess allegations that he misappropriated bank customer funds.

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.

The regulator was looking into allegations that he structured transactions in his personal bank account to avoid federal reporting requirements.

Former Department of Labor officials allege systemic breakdown of whistleblower protection; two also handled Wells Fargo cases that went nowhere.

The model for financial advice "is primed and ready for change," says Cetera CEO Robert Moore.

Larry Feinsmith's job is to bring together the megabank and Silicon Valley startups.

Whitley Hood declined to provide on the record testimony regarding allegations that she misappropriated funds from an affiliated bank.

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

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

Coming right after Trump’s victory, the move may be an early indication firms believe the regulation will survive.

Here's what to watch for just before the counting of ballots begins.

Regulators are looking to ensure Wells Fargo’s scandal over unauthorized customer accounts isn’t being repeated at other institutions.

The bank ignored fees on structured notes, and clients may have been shortchanged, a consultant says.

A $2.2 billion Morgan Stanley team's move to independence shows how breakaways use shell companies to take advantage of the legal pact, and why more than 1,500 firms have signed on.

They seem to be everywhere, but there is every reason to believe that clients overwhelmingly still want to deal with human beings.

J.P. Morgan Chase, Citigroup, First Republic and Bank of America were among the institutions questioned on the issue of incentive compensation.

Third-quarter revenue from global wealth management surged 10% year-over-year.