Regional banks

An advisor managing $215 million in assets left Merrill Lynch to join the regional firm.

Cerulli predicts that market share gains in the RIA and dually registered channels will likely come at the expense of wirehouses and independent broker-dealers.

The firm recruits a team with advisors from Wells Fargo and JP Morgan.

The advisor was with Raymond James for five years without any customer complaints noted by FINRA.

Ameriprise advisor Joe De Sena explains how getting involved in a charity changed his practice. "It's about making contributions to their lives in a way that has almost nothing to do with the money."

An advisor joined BB&T Scott & Stringfellow to become the firm's latest wirehouse recruit.

Raymond James & Associates lured away a wirehouse team with $116 million in AUM.

The National Adjudicatory Council upheld an earlier ruling finding Wedbush liable for failure to file accurate and on-time reports of customer complaints and broker registrations.

A Wells Fargo team left the wirehouse to join Raymond James & Associates.

Raymond James & Associates recruited an advisor managing more than $191 million in assets from regional rival Stifel.

The team, known as Madison Street Financial Group, generated $3.5 million in annual revenue.

An advisor team generating $6.7 million in annual revenue has left J.P. Morgan Securities for Raymond James & Associates.

An ex-Ameriprise franchise advisor was fined and suspended by FINRA for allegedly copying and pasting client signatures onto documents.

A new addition to Raymond James & Associates helps further the firm's growth plans.

Two Raymond James advisors joined Ameriprise; one went to the employee channel, the other moved to the firm's independent side.

Wells Fargo Advisors recruited a veteran advisor generating more than $1 million in annual revenue.

Wealth management profit increased 41% to C$285 million from a year ago as fee-based client assets rose, while insurance more than doubled to C$256 million.

The industry regulator closes the comment period for its controversial data-reporting initiative as brokerage trade groups warn of privacy concerns and compliance costs.

Merrill Lynch lost a group of advisors managing $535 million in assets to Raymond James & Associates.

Kelly King, BB&T's chairman and chief executive, expressed frustration with the interest rate environment. It's "challenging to get expenses down today."