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The new hires are the latest recruits to join the regional firm.
August 17
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The rep ignored FINRA's repeated requests for documents it needed to investigate allegations that she made inaccurate statements on a mortgage gift letter.
August 16
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Shelley Steuer Freeman, the bank's former Los Angeles regional president and head of Consumer Credit Solutions, was barred for refusing to provide FINRA with documents it requested.
August 14
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The violations ranged from the improper reuse of signed customer forms to the execution of discretionary transactions without written authorization.
August 1
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Regulators are contacting the bank after financial details of some 50,000 clients were inadvertently sent to an outside party, according to a person with knowledge of the matter.
July 24
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Social Security numbers and portfolio information for some high-net-worth clients and advisors was provided inadvertently as part of a lawsuit.
July 23 -
The four advisers joined the more than 500 lost by the wirehouse in the last nine months.
July 20
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Rising markets boosted revenues for wealth- and asset-management arms at the largest U.S. banks to $18.4 billion in the second quarter, according to data compiled by Bloomberg.
July 20
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The new complex manager will oversee 43 advisers at the regional brokerage.
July 19
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The two advisers bolted in a quarter that saw their ex-firm lose 130 advisers.
July 17
