Bank Advisor

The biggest bank merger in 10 years makes a lot of sense at the top levels, but some advisors may find their new home restrictive, an observer says.

Brokerage firms have been filing more lawsuits against former employees over alleged violations of non-solicitation agreements.

Douglas P. Simanski allegedly told clients he would invest their money in a “tax-free,” fixed-rate investment, a rental car company and a coal mining firm.

Researchers from top business schools studied arbitrator selection, as shown in nearly 9,000 cases filed by clients over a 27-year span.

A petition to vacate the award was denied by a federal judge.

The holidays must be coming soon because BIC is working on its annual ranking of top bank advisors.

Helping clients navigate the complexities of tax reform is even more of a priority.

Investment firm blamed fat finger error for 90% decline when losses were really due to poor trading.

The boutique wealth manager has been aggressively courting top brokers.

The rep accepted two loans while employed at Robert W. Baird and later neglected to disclose them to Citigroup Global Markets, FINRA claimed.

At least 17 individuals invested $13 million in the scheme, and many lost 'substantial portions' of their life savings, prosecutors say.

The bank promoted Denver’s regional leader of the business to oversee all aspects of Ascent Private Capital Management nationwide.

Mapping out their cash flow and identifying existing and potential problem areas are good places to start.

The rep helped the customer conceal the true source of funds into his accounts, FINRA claimed.

Acorns co-founder Jeffrey Cruttenden says clients would vote, if they realized they had the rights.

The regulator barred an ex-Wells Fargo advisor for fooling the bank into reimbursing him for $3,400 after he falsely claimed that he was the victim of fraud.

We took a fresh look at our most recent Top 100 Bank Advisors and re-ranked them based solely on their annual production figures. Here are the top 25.

The concept of ROI is shifting for young investors.

Even high-net-worth clients are reluctant to discuss LTC planning, a new survey finds.

Author and Commonwealth Financial Chairman Joseph Deitch discusses how to gain a better understanding of yourself and your clients, and how to resolve differences.