Industry

A new set of players have shaken up the independent broker-dealer landscape, showing that there's more than one way to throw your weight around. See this year's top players.

While the biggest independent B-Ds have been fairly quiet, the deal-making has shifted to other players. See who's in focus now.

Alejandro Ariel Torres allegedly cheated a customer out of nearly $60,000 in a start-up scheme that purportedly made the client a 50/50 partner. Torres was ordered to make the customer whole.

Pimco considered recruiting Gary Cohn, president of Goldman Sachs, as a top executive in 2013, people with knowledge of the matter said.

New digital tools are paving the way for advisors to create hybrid services that will increase both reach and profitability. See a few of the newer options.

Guide Financial, which counted among its advisors Esther Stearns, former head of Nestwise -- a now-shuttered LPL venture aimed at middle-class clients -- is the latest technology provider to be acquired.

The top lawyer of Goldman Sachs Group’s asset management unit is leaving the bank to become the top aide to U.S. Securities and Exchange Commission Chair Mary Jo White, the agency said Wednesday.

The revised proposal would require brokers to disclose to clients the compensation they receive when jumping to a new firm.

Richard Ketchum voices support for SEC to move on a uniform fiduciary standard for brokers and advisors, while warning of unintended consequences from DoL's proposal.

The wirehouse advisor moved to the independent channel at Wells Fargo.