Practice

The three founders of Concord Equity Group Advisors, a firm LPL bought in 2011 after the RIA allegedly hid commissions from its institutional clients, settled with the SEC.

Raymond James & Associates recruited an advisor managing more than $191 million in assets from regional rival Stifel.

Optimism about business growth and a rising sense of alarm at security breaches are shaping U.S. banks' tech spending plans for 2015.

Decreased creditor protection for inherited IRAs will impact retirement planning next year; plus, the hidden pitfalls of collecting Social Security benefits from an ex-spouse and three dividend stocks for retirees to consider.

Concerns about an over-proliferation of ETFs, curiosity regarding how market demand will shape product innovation and questions about the direction of regulation are expected to punctuate discussions among those attending the 19th annual IMN global Indexing and ETF Conference in Scottsdale, Ariz., that begins on Dec. 7.

The wirehouse brought over five advisors from UBS and Citi Personal Wealth Management.

The team, known as Madison Street Financial Group, generated $3.5 million in annual revenue.

The rep was expelled for allegedly cashing a $12,000 third-party check that was later found to have been stolen and the payee's endorsement forged.

HighTower recruited a Merrill Lynch advisor to join a group that broke away from the wirehouse earlier this year.

An advisor team generating $6.7 million in annual revenue has left J.P. Morgan Securities for Raymond James & Associates.