U.S. Bank

The regulator claimed he sold $2.63 million in equity-indexed annuities without disclosing the business to his employer, U.S. Bancorp Investments.

U.S. Bank hired an executive to lead the fledgling Business Owner Advisory Services group on a national level.

FINRA claimed the broker attempted to secure a buyer for 10 sellers of Iraqi dinar currency in anticipation of a finder's fee.

Which banks are advisors moving to? One recently jumped to Woodforest National Bank from Merrill Lynch. Eight others switched to Arvest Bank, Northern Trust, Union Bank, U.S. Bank and Wilmington Trust from myriad financial services firms.

Six executives were recently tapped to lead wealth management and related investment services groups at several financial institutions, including Umpqua Bank, U.S. Bank and CUNA Brokerage Services. Find out who they are and what their new roles entail.

The country’s sixth-largest IBD is shifting its management ranks in a change prompted by the fiduciary rule.

Daniel Wani will command a team of 18 wealth management professionals providing a range of services to wealth clients in both states.

The bank's wealth management businesses earned $124 million on $600 million in revenue in the second quarter.

The rep impersonated an elderly customer in an attempt to move his retirement account from a rival institution, the regulator charged.

Which banks are advisers moving to? Six recently jumped to BNY Mellon, Union Bank, U.S. Bank and M&T Bank from myriad financial services firms. One made a lateral move within his bank.