Industry

The case, filed on behalf of an on-call branch office manager who works with advisers, follows similar retirement plan-related litigation recently filed against other firms, including Morgan Stanley.

The veteran supervisor got his start at Merrill Lynch in the early 1980s.

Veteran Jason Miller was named to a new post as head of Wealth Planning in the U.S. He is supported by four regional leaders who are also new to their roles.

This in-house position helps one firm attract larger clients and build contractual relationships with descendants.

A long-awaited IPO comes with many questions.

Baha helped Jeffrey Gundlach turn DoubleLine Capital into a $100 billion asset management firm.

The firm says it has put regulatory fines in its rearview mirror, has invested in tech upgrades and has devoted resources to helping advisers adapt to the DoL fiduciary rule.

Plus, Benjamin F. Edwards and Ameriprise each add recruits with more than $600M in combined AUM, and Morgan loses a $500M group.

How many women advisers work for the leading independent broker-dealers?

The advisers, one of whom is a former football coach, are among the first to join the wirehouse since UBS unveiled sweeping changes to its comp plan.