The new hires are the latest recruits to join the regional firm.

The rep ignored FINRA's repeated requests for documents it needed to investigate allegations that she made inaccurate statements on a mortgage gift letter.

The mishandling of the two former employees’ complaints, detailed in documents and by former OSHA officials, raises questions about the government’s treatment of whistleblowers throughout the financial services industry.

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.

The Northeast prevails, but there's a surprise in the rankings revealed by this interactive infographic.

In addition to redesigning its business lines, the $48 billion firm is considering a robo, the president of its broker-dealer said.

The group previously generated almost $2 million in annual revenue, according to their new employer.

The violations ranged from the improper reuse of signed customer forms to the execution of discretionary transactions without written authorization.

The bank’s attorney who mistakenly released reams of sensitive data about wealthy clients asked a judge to order the records returned and not to be spread any further.

The Connecticut office tallied 14 new hires in the past twelve months, the firm said.

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.

Social Security numbers and portfolio information for some high-net-worth clients and advisors was provided inadvertently as part of a lawsuit.

The four advisers joined the more than 500 lost by the wirehouse in the last nine months.

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.

The new complex manager will oversee 43 advisers at the regional brokerage.

The two advisers bolted in a quarter that saw their ex-firm lose 130 advisers.

This is the second time Jefferies has poached Miami-based adviser talent from the wirehouse.

The former rep refused to comply with a FINRA investigation into allegations that he exercised influence over an elderly woman.

The firm's headcount has steadily declined since the bogus account scandal came to light last year.

"With 15,000 financial advisors, it's hard to change financial planning software. It's hard to change the day-to-day stuff," adviser Jim Denholm III says.