Location State: MN Base Salary: $130,000 - $150,000, DOE Bonus & Incentives: Incentive is tied directly to achievement of individual's agreed to business objectives and specified divisional profit goals. Position Responsibilities: The Wealth...

Location City: Palm Harbor Location State: FL Base Salary: Bonus & Incentives: good incentive bonus plan up to 40% Position Responsibilities: Our client, an excellent regional bank, has an opportunity for a Private Banker in the Palm Harbor area...

Location City: Albuquerque Location State: NM Base Salary: $125,000-135,000 Bonus & Incentives: Incentive will either be a certain percentage of first year's fees brought in, or part of the bank's quarterly bonus program Position Responsibilities...

Morgan Stanley’s embattled CEO Philip Purcell tried to shore up shareholder support and squelch the almost daily flood of media speculation over the firm’s future Tuesday with his first public address since the controversy over his...

The FPA hopes to have an earlier ruling by the SEC dismissed that allows registered reps to call themselves financial advisors.

After being hit with a fine, Raymond James is dissolving its fee-based brokerage business.

It used to be that the NASD’s continuing education requirements covering regulatory issues were for reps that had recently gotten their Series 7 licenses. But, effective this month, the NASD is sending everyone back to the classroom for...

In the first settlement of its kind, the NASD hit Raymond James with a $750,000 fine Wednesday for improperly putting certain clients in fee-based brokerage accounts. The NASD said Raymond James Financial will terminate its fee-based brokerage...

Sometimes it pays to take on securities regulators, despite their financial and legal heft. Consider the case of Charles Elliott. In a rare victory for a broker in a settlement dispute with the SEC, Elliott last week won recovery of over $100,000...