Industry

The group opted to join HighTower, which has added nine teams so far this year.

Purchaser B. Riley Financial will operate Wunderlich alongside its RIA and investment bank.

Opponents of the regulation don’t have “new evidence” to beat back a final legal challenge, says the former assistant secretary of the Department of Labor.

C.L. King & Associates argued it did not break any FINRA rules.

The firm says its external backup system failed at the same time its main internet connection was cut, raising concerns.

The firm’s newest team left Wells Fargo’s independent channel.

The move is the latest in a string of new hires at the regional brokerage firm.

Identify seasoned advisers who can be trained to become the next generation of leaders.

The OCIE is suggesting best practices for firms to protect themselves.

The broker says the decision to switch firms was "an easy one."