Andrew Welsch

One of the new recruits was previously affiliated with Raymond James as an independent adviser for about a decade.

The independent firm's newest recruit is a nearly 30-year industry veteran.

Two are coming back to Mother Merrill, having worked there in the 1990s.

Additional guidance on the new regulations will come regularly, according to Deputy Assistant Secretary Timothy Hauser.

When more clients live ever longer lives, what's an adviser to do?

It's one of the biggest hurdles many advisers face, and it's still critical for investing success, says T. Rowe Price's Brian Rogers.

The planner, who oversaw $132 million in client assets while at the wirehouse, is starting out on his own with help from Raymond James, the firm said.

Advisers can – and should – do more to help clients guard against messy inheritance fights, an attorney says.

The firm is buying City Financial, where brokers oversaw approximately $4 billion, according to the company.

One of the recruits began his career in the late 1980s.

The firm failed to detect one of its registered representatives converting $370,000 in client funds for the rep's own use, according to the regulator.

The recruit also previously worked for Morgan Stanley, Merrill Lynch and RBC.

The firm named Douglas Rubenstein as its new chief operating officer.

How specialty areas are helping this elite group of 20 advisers boost business.

The Swiss firm alerted brokers that they may take their disputes to FINRA instead of resolving them in a private forum set up by the company.

An ex-American Realty Capital executive allegedly overstated a key accounting metric by roughly $13 million, according to the SEC and federal prosecutors.

From hiring sprees to accelerating software launches, companies are gearing up for the significant expenses and changes wrought by the new regulation.

The wirehouse's three newest recruits are all industry veterans.

"The key to success in this deal was finding the right partner," says Haig Ariyan, president of the firm's new Alex. Brown division.

The case is the latest related to alleged misconduct by a barred wirehouse broker who was also a nightclub owner.