Wirehouses

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.

The adviser joins the regional BD during a push to grow the firm.

Experts and advisers weigh in on what to expect and how to discuss the future.

A friendly memo to help top regulators in the next administration set priorities. One key point: planners and fee-compensated IRAs are the least of your worries.

Here's how the outcome of the presidential election could affect the trajectory of the Labor Department's regulation.

Here's what to watch for just before the counting of ballots begins.

Several senators conducted their own review of FINRA reports and said they found that Wells Fargo had “ample information” about the severity of the bogus account practices for years.

Try this low-key approach with clients for maximum success.

Try this low-key approach with clients for maximum success.

If you plan to join another firm or go indie, you’d better reacquaint yourself with this landmark agreement first.

Amid reports of a possible sale, assets rise and expenses fall.

The advisers made the move in the wake of new regulatory guidance which takes aim at recruiting deals.