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The advisor claimed the bank placed a slanderous statement in his form U5, preventing him from finding a new job.
January 5 -
“The discussions we’re having now are, ‘Call your municipality and try to establish what your liability is. Call your mortgage holder,’” an advisor said.
December 29 -
The bank's retail brokerage business sold customers shares in mutual funds with front- or back-end sales charges when they were eligible for Class A shares that waived the upfront sales load, FINRA claimed.
December 6 -
The firm is continuing its recruiting push by adding a new team in southeast Georgia.
October 18 -
Patrick O’Donovan will focus on recruiting new talent and helping advisors with succession planning, he says.
September 25 -
The broker declined to appear for on-the-record testimony regarding expense reimbursements that SunTrust alleged were not valid expenses, according to FINRA.
September 21 -
SunTrust Investment Services collected more than $1.1 million in avoidable 12b-1 mutual fund fees from more than 4,500 accounts, the SEC charged.
September 14 -
The move is HighTower's 22nd transaction this year ― making 2017 the firm's busiest year ever.
August 21 -
We've reshuffled our Top 100 bank advisors to list them by annual production. Here are the top 20.
August 10 -
Second-quarter revenue from brokerage services fell 3% year-over-year while assets under management jumped 26% to $14.8 billion.
July 21