Industry

The firm has been rolling out a robust suite of new and upgraded technology tools.

The wirehouse has been fighting to keep managed assets this year, suing ex-advisors for taking client information during their move.

Some 1.4 million participants in private pension plans may be facing stiff pension cuts that could come as soon as 2028.

Marriage equality leads PridePlanners, a group focused on aiding advisors working with LGBTQ clients, to become part of the association.

There’s no playbook, but there is common sense, says XY Planning co-founder Alan Moore.

After a busy month nabbing talent from Wells Fargo, Raymond James picks up a team from Stifel.

The firm’s principal says his team wanted to join the No. 1 IBD, which is testing larger recruiting offers.

Three advisors who left the firm years ago are returning to the regional broker-dealer.

Fiduciary advocates lament the absence of the term from the SEC's rule, which they say fails to move beyond FINRA’s existing suitability standard, while the brokerage sector sees the proposal as a welcome jump in oversight.

The move is an early indication of how firms may react to the demise of the Labor Department regulation.