Wirehouse advisors

Mario Rivero pleaded guilty in February to swindling five clients out of more than $600,000.

A brokerage client's portfolio was gradually invested almost exclusively in the fund manager WisdomTree over a decade.

A sale of the business bought four years ago would undo another part of CEO David Solomon's ill-fated move into managing money for a wider array of clients.

James Tuminello argues in court documents that he only reached out to clients he formed with relationships before joining the large wirehouse.

Missouri requires brokers who recommend investing on environmental, governance or social principles to sign statements saying they "are not solely focused on maximizing" returns.

Advisors and brokers rarely put up fights when a former employer comes for loan paybacks as successes are few and far between.

Garcia will take on the task of extending the banking giant's reach in Miami.

Lisa Opoku follows Julian Salisbury out the door of the Wall Street stalwart.

The independent RIA looks to the Wall Street stalwart for its expertise in alternative investments.

The change follows multiple reorganizations of the Wall Street giant's asset management division.