Industry

Phil Shaffer says changes in the business necessitated a career change if he was to maintain an edge in serving clients.

The broker claims in filings that he was harassed by the bank, culminating in his firing in February of last year.

The nation’s largest IBD paid $325 million, but it may spend as much as $508 million in the deal.

Over 75,000 advisors in the U.S. will be affected by what is expected to be the most significant version of CFP standards to date.

The new hire previously managed three UBS locations that generated $110 million annual revenue, according to the regional broker-dealer.

New standards for advisors cover digital advice, third-party relationships and expand fiduciary duty obligations.

A checklist for advisors who have clients looking to launch a new business.

A primer on characteristics that enable advisors to build a successful practice that entails very little marketing.

Quietly, Invesco's robo advisor has scored IBD and brokerage clients.

Louis Blazer III used client funds to finance 'Mafia the Movie,' according to the complaint.