Industry

IBDs are waging a tough recruiting fight for hybrid RIAs, and Bill Van Law played a pivotal role.

The new hires from Merrill Lynch and JPMorgan are welcome news for the embattled bank’s wealth management division.

Instead of harmonizing standards of client care across the industry, it may be better to re-differentiate them in light of the fiduciary rule's recent court loss.

The securities-backed lending platform provides liquidity to borrowers and transparency to advisors, the investment banking giant says.

Fortune 500 companies disappear because they don't plan properly for the future. Don't think it can't happen to your firm.

The 1,778-advisor firm constitutes the largest privately held IBD, underscoring the growing appeal of boutique-like models.

Compliance experts stress the importance of working out a game plan for how to handle an exam before the feds come knocking.

The two IBDs have agreed to pay restitution in one of the largest securities fraud cases in the advisor’s home state.

The bank sometimes ignored the advice of its own diligence vendors in packaging and selling loans.

A directive on ETFs took the advisor by surprise after several years with the No. 29 IBD, he says.