Andrew Welsch

Two veteran advisers joined the independent firm, which is affiliated with Raymond James.

The firm's latest acquisition is MacDougall MacDougall & MacTier, known as 3Macs, and which was founded in 1849.

If you're still thinking about a client who may be suffering from diminished capacity or displays other worrisome signs, then you need to say something, says Dr. Nancy Needell.

The case centered on the supervision of a now-barred broker, whose misconduct included encouraging athletes to invest in a Miami Beach nightclub and sending baskets of tequila to pro sports teams, according to FINRA.

Are you using a robo adviser with clients? Be prepared to understand the inner workings of your digital tools, says Hardeep Walia, CEO of Motif Investing.

The elderly have called with technology issues, needing assistance with poorly understood account statements and to report scams. The calls also have helped the regulator identify mistakes and instances of abuse.

Richard Ketchum adds that the regulator needs to take a closer look at the culture of wealth management companies to see if executives are setting the right tone: "It is essential that a firm's leadership own the policies and procedures."

Three weeks after the broker killed himself, the firm agreed to a confidential settlement with his wife for an undisclosed amount.

In an unusual move, the two veteran advisers left the independent channel to rejoin an employee broker-dealer.

The regulator says the firm had "widespread failures" in its anti-money laundering programs for both its employee and independent channels.

While large brokerage firms pilot digital advice platforms, D.A. Davidson is holding back to see what works and doesn’t, says a top executive.

The new recruits are industry veterans who oversaw more than $330 million in client assets.

He will join a team of ex-Merrill advisers that will oversee more than $370 million in client assets at Snowden.

The firm is not launching a standalone robo service, but says new technology will empower its roughly 7,100 advisers to better meet client needs.

The independent firm affiliated with Raymond James recruits a veteran with nearly 40 years of industry experience.

The advisers are also balking at the firm's insistence that former advisers seeking to claim comp go through its dispute resolution process instead of FINRA.

The firm's newest recruits generated $3.5 million in annual revenue.

Wealth managers report being divided on whether to allocate more client funds to global or domestic stocks.

The wirehouse terminated the broker two days after losing a $34 million arbitration case brought by the client's widow, who alleged elder abuse and other misconduct.

The acquisition hungry firm added nearly 800 independent and employee advisers over the previous year.