Industry

The No. 1 independent broker-dealer has grown beyond the wirehouses, but it added about 100 fewer advisors than expected from its major acquisition.

The firm plans to double in size in the next three years.

Creation of the blue-ribbon body draws praise and confusion from CFPs who question its utility.

The move boosts the firm's expansion in the central U.S.

Similarly fed-up with dismissive treatment of women, readers weigh in on what’s the best way to tackle sexist behavior.

Since early May, the wirehouse has lost at least 27 advisors managing a combined $15 billion.

The former Oppenheimer client was allowed to invest in a new fund started by Carter Worth, a well-respected technical analyst who the client believed “walked on water,” his lawyer claimed.

J.D. Power’s annual survey reveals the importance of leadership and culture, along with differences among male and female representatives.

A FINRA arbitration claim followed an asset freeze and the launch of a federal investigation into the fired advisor’s RIA.

The lawsuit follows a complaint by the SEC alleging that five men and three companies defrauded more than 600 investors.