LPL Financial

The advisor told the client that she could pre-pay her advisory account fees at a discount by writing him a $7,400 check, FINRA claimed.

Other states are likely to enter similar agreements with the broker-dealer.

At least seven firms with outside RIAs have left the No. 1 IBD since it announced a change in policies last November.

Shifts in the annual ranking of the nation's independent broker-dealers show how pressure on IBDs is intensifying.

The nation's largest IBDs are growing again, but are they innovating fast enough to keep up with the industry's transformation?

This interactive tool provides the full collection of data from Financial Planning's 33rd annual study of the largest firms in the space.

Thirteen of the top 25 companies generated double-digit growth in 2017 as rivals close in on the perennial No. 1 firm.

At least six RIAs have left since the No. 1 IBD announced a change in policies last November.

LifeYield unveiled its second agreement with an IBD to offer its software, which had previously only been available to large institutional clients.

The broker-dealer refuted allegations that it used false advertising to mislead customers into thinking that the investment services it provided through a Utah-based credit union were part of the credit union.