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At least three dual practices with nearly $1.5 billion in client assets have left since the No. 1 IBD unveiled the new guidelines.
March 8
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The No. 9 IBD has emerged as one of the major players in a tough recruiting fight after the massive acquisition.
March 7
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After acquiring four firms’ assets, the industry giant still faces big challenges ahead.
March 2
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Funds managed by Marco “Mick” Hellman sold most of their holdings, while CEO Dan Arnold received options worth $5 million.
February 28
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A FINRA arbitration panel concluded that the No. 1 IBD made false and defamatory statements in its U5 filings.
February 20
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Among recent career changes, Merrill Lynch lost brokers managing $2.2 billion to rival J.P. Morgan Securities.
February 20
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The firm is tapping a pool estimated by LPL to be as large as 1,200 brokers with $35 billion in client assets.
February 14
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The Waterbury, Connecticut-based bank wanted to ensure that it was meeting the technology expectations of clients across the wealth spectrum.
February 13
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Private Advisor Group reported impressive growth even as other practices of its kind have left the No. 1 IBD.
February 12
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As lure, the firm deploys a $52 million technology platform that is the “best that I've seen.”’
February 8
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Pole-vaulting advisor Mark Cortazzo’s practice marked at least the second hybrid in three months to leave the firm for Mutual Securities.
February 6
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Ameriprise is looking to reverse a decline in its headcount.
February 6
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L&N Federal Credit Union was looking for a boutique-style firm following Invest's acquisition by LPL.
February 5
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More than $34 billion in client assets moved into the No. 1 IBD’s fold in the first part of the acquisition.
February 2 -
Texas securities watchdog derided the advisor for not considering the costs associated with an equity trading strategy he employed for certain clients.
January 31
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Life Brokerage Financial has 80 advisors and 40 full-time staff and will join the firm next month.
January 30
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Advisor Group set a record for its recruiting in 2017, and Securities America announced more than a dozen fourth-quarter grabs.
January 25 -
The RIA aggregator inked another big-figure deal after netting more than two dozen firms last year.
January 18
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The Short Hills, New Jersey-based bank will look to Cetera to accelerate the program's growth.
January 10
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Wells Fargo, Merrill Lynch, UBS and Morgan Stanley all lost talent in 2017.
January 3
