Ann Marsh

As Cetera is shopped around by Lazard, the IBD’s advisors say they want to stay with the firm but will leave if they must.

Bijan Mohseni and David Townsend, who managed $150 million in client assets, enticed to Raymond James by firm's reputation and its back-office support.

More advisors are affiliating with larger firms through richly resourced super OSJs that offer a close-knit working environment.

Lee Dana Weiss and his firm Family Endowment Partners face numerous cases from clients as well.

Merger of two LPL practices seeks to expand a new niche; banks seek non-interest, fee-based income from independent planners.

Focus Financial facilitates a three-way marriage of family office veterans who plan a bicoastal growth strategy.

By taking a 6.3% stake in LPL, activist investor Marcato Capital is expected to push for big changes, as it has at public companies such as BNY Mellon and Sotheby's.

The industry regulatory organization remains close to hitting a historic high on financial penalties. Regulator is focusing on "bread-and-butter type issues," says expert, who expects more cybersecurity and anti-money laundering fines.

Lure of large trust department, bank name recognition, more persuades five advisors in Redondo Beach, Calif., to switch.

The advisor opted not to fight FINRA, saying the allegation against him is without merit.