SunTrust

The advisor claimed the bank placed a slanderous statement in his form U5, preventing him from finding a new job.

“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.

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.

The firm is continuing its recruiting push by adding a new team in southeast Georgia.

Patrick O’Donovan will focus on recruiting new talent and helping advisors with succession planning, he says.

The broker declined to appear for on-the-record testimony regarding expense reimbursements that SunTrust alleged were not valid expenses, according to FINRA.

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.

The move is HighTower's 22nd transaction this year ― making 2017 the firm's busiest year ever.

We've reshuffled our Top 100 bank advisors to list them by annual production. Here are the top 20.

Second-quarter revenue from brokerage services fell 3% year-over-year while assets under management jumped 26% to $14.8 billion.

More banks are implementing second-story adviser programs as they embrace advice-based client relationships in the wake of the fiduciary rule.

"They like what we do. They like the capabilities. They like the technology we have," he said of the clients drawn to the bank's wealth management platform.

A FINRA arbitration panel ordered the broker to give back the bulk of his $675,000 signing bonus to SunTrust.

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.

We've sliced and diced our top bank advisers to list the banks and TPMs based on the number of our winners in their ranks.

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

Karen Dixon will oversee private wealth management services in Texas.

The two were part of a three-person brokerage team that joined SunTrust Private Wealth Management in Atlanta.

Charles Banks pleaded guilty to wire fraud related to loan refinancing for sports merchandising venture Gameday Entertainment.