Industry

A FINRA arbitration panel ruled in Merrill's favor and against the former wirehouse advisor, although one arbitrator dissented in awarding the firm about $200,000 in attorney's fees.

Pershing will give advisors digital tools; Capitol One gets in the game with a hybrid robo plan.

Advisors who are thinking of starting their own firms need to understand that compliance is as essential to their business as any other aspect.

The team generated nearly $4 million in annual revenues while at Morgan Stanley and joined Raymond James' employee channel.

The newly formed team joins the Wells Fargo Advisor Financial Network with over 65 years of combined experience.

Financial Planning unveils its annual list of the industry's biggest independent broker-dealers.

The regional firm landed a group that managed about $400 million in client assets before the move.

The community bank says that LPL's compliance resources and technology were major factors in its decision.

The regional firm landed an advisor with more than three decades of experience.

Some advisors might land a sizable payout, according to documents seen by On Wall Street.