Financial institutions

Why executives think forthcoming technologies will secure the firm’s lead as a digital innovator.

A FINRA panel ordered the wirehouse to pay damages to two former clients who invested in Puerto Rican municipal bonds and closed-end funds.

Keith Banks, president of U.S. Trust, is getting new responsibilities at the firm.

The wirehouse's moves are intended to remain competitive in the recruiting contest for top brokers.

The move limits the bank’s ability to make golden-parachute payments and requires regulator approval before executives are hired.

Robert Peyreigne was hired to fill the role after Michael Armstrong departed Jefferies for RBC earlier this year.

The planners left J.P. Morgan, UBS and Merrill Lynch to go into business for themselves.

The regional firm ups its recruiting momentum with two wirehouse advisers.

The new hires come from RBC, UBS and First Republic.

The new recruits come from Stifel and IBD ValMark.