“The bank had better tools and systems to detect employees who did not meet unreasonable sales goals than it did to catch employees” engaging in misconduct, the regulator said.

The regional BD’s new hires in January have averaged more than $100 million in AUM.

If these black financial advisors meet the goal, it will defy the industry's stark racial disparities: early career growth at that level just “doesn't happen in our demographic,” one partner says.

The firm is drawing heightened interest from advisors generating between $1 million to $5 million, according to CEO Paul Reilly.

The all-woman unit will operate from two locations.

The arbitrators based their ruling “on the defamatory nature of the information.”

With its appointment of Martine Lellis, one of the largest and most-acquisitive RIAs ups its leadership ranks to almost 40% women.

The bank is an aggressive recruiter of HNW and UHNW talent.

The 17-member team is one of the largest to switch employers in recent years.

The firm typically trains its own advisors in lieu of recruiting talent from the competition.

The recruits include a father-son duo from UBS.

The bank continues to struggle with attrition due to scandals, regulatory scrutiny and a graying workforce.

The advisor switched firms only to see his new employer close shop 18 months later.

Planners — and RIAs that want to hire them — have faced hurdles tied to client solicitation rules.

The regional broker-dealer is among the industry’s most aggressive recruiters.

It’s the second straight year that Cliff Asness’ quant firm is announcing layoffs.

The changes are the firm's latest steps in a broad reorganization of its wealth management business since it hired Iqbal Khan from rival Credit Suisse.

Rivals will be waiting to seize on any changes that may irk some 4,400 representatives poised to operate under a new parent IBD network.

The record level of transactions — as well as long-term industry shifts — often prompt advisors and other wealth management professionals to assess their options.

The advisors left Wells Fargo, signaling Stifel’s recruiting push will extend into 2020.