Updated Monday, October 20, 2014 as of 5:44 AM ET
SEC Files Record Number of Enforcement Actions
Agency secures $4 billion in penalties; expert says: “make sure that you have a robust and dynamic compliance program.”
More in Regionals
Stifel Financial brings in a veteran Morgan Stanley advisor for a newly created client office in West Chester, Pa. more »
Waddell & Reed picked up an advisor from rival Edward Jones. more »
Female advisors from Raymond James' Private Client Group got a mix of planning tips, technology tricks, strategic advice and female empowerment. more »
A Morgan Stanley advisor duo with $213 million in AUM has left the wirehouse to join RBC Wealth Management. more »
Raymond James reshuffles its divisions, leading to several management appointments. more »
A UBS advisor managing $108 million in assets has left the wirehouse to join rival firm Merrill Lynch. more »
On Wall Street has dropped its minimum AUM for its annual ranking of the top 40 advisors under age 40. Who will it be this year? more »
Advisor Jo Ellen Fisher, who allegedly stole nearly $1 million from a 95-year-old client, is barred from the industry and has been sued by her former employer. more »
Raymond James & Associates recruited a wirehouse advisor who generated over $1 million in revenue, managing more than $120 million in assets. more »
Wunderlich Securities is growing, picking up Dominick & Dominick, a New York-based brokerage firm with a long history on Wall Street. more »
D.A. Davidson Companies announced that Jim Kerr would replace Bill Johnstone as CEO effective January 2015. more »
FINRA has issued a long-awaited regulatory notice outlining the proposal for a controversial data-sharing system known as CARDS, asking for comments from the industry and other stakeholders. more »
At an advisor summit, the industry group urges members to reach out individually to lawmakers to fight regulatory plans. more »
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