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The rep was suspended for 15 months and fined $15,000 for engaging in the purported scheme and accepting a $50,000 cash gift from a customer, FINRA claimed.

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

A team joined the wirehouse from Wells Fargo Private Bank.

The boutique wealth management firm picked up three industry veterans from two smaller rivals.

HighTower and Dynasty added big platform clients as wirehouse brokers continued to flee.

The RIA is negotiating to buy a portion of Wealth Trust. It may also be facing the loss of a second top executive.

Karen Dixon will oversee private wealth management services in Texas.

The firm's latest hire is an industry veteran of more than two decades.

Tom Scaturro will lead Key Private Bank market teams in Florida and the Hudson Valley/metro New York region.

The firm's latest hire has nearly three decades of industry experience.

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

An alternative to acquiring an advisory firm, this strategy might also net books of business.

An alternative to acquiring an advisory firm, this strategy might also net books of business.

The advisers oversaw nearly $900 million in combined AUM, and moved to Morgan Stanley, Raymond James and HighTower.

Betterment's co-founder announces he is stepping down, while Wealthfront's ex-CEO joins the board at Acorns.

A roundup of planners and brokers who drew regulatory scrutiny for alleged misconduct.

A career path with established performance goals has become a critical element of compensation.

William Blake, the independent firm's 10th hire this year, says he was attracted by the chance to become a partner.

The firm's executives said it's too early for government officials to take action based on the studies.

The new hires joined the wirehouse from J.P. Morgan Securities, On Wall Street learns exclusively.