Updated Monday, December 22, 2014 as of 7:03 AM ET
Wells Fargo Advisor Leaves for Regional B-D
An advisor joined BB&T Scott & Stringfellow to become the firm's latest wirehouse recruit.
More in Regionals
Raymond James & Associates lured away a wirehouse team with $116 million in AUM. more »
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. more »
A Wells Fargo team left the wirehouse to join Raymond James & Associates. more »
Raymond James & Associates recruited an advisor managing more than $191 million in assets from regional rival Stifel. more »
The team, known as Madison Street Financial Group, generated $3.5 million in annual revenue. more »
An advisor team generating $6.7 million in annual revenue has left J.P. Morgan Securities for Raymond James & Associates. more »
An ex-Ameriprise franchise advisor was fined and suspended by FINRA for allegedly copying and pasting client signatures onto documents. more »
A new addition to Raymond James & Associates helps further the firm's growth plans. more »
Two Raymond James advisors joined Ameriprise; one went to the employee channel, the other moved to the firm's independent side. more »
Wells Fargo Advisors recruited a veteran advisor generating more than $1 million in annual revenue. more »
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. more »
The industry regulator closes the comment period for its controversial data-reporting initiative as brokerage trade groups warn of privacy concerns and compliance costs. more »
Merrill Lynch lost a group of advisors managing $535 million in assets to Raymond James & Associates. more »
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