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Michael Shaw, who left the board amid turmoil over its disciplinary process, could end up working for former investigatory targets with new consulting gig.

Since last month, Morgan Stanley has lost about a dozen advisors overseeing more than $1.6 billion in client assets to rival wirehouses and regional B-Ds.

After 17 years with LPL, planner says the large B-D's service dropped off.

Junior recruits entering the business as potential partners have their own take on how to boost business.

A one-time investment specialist interacts with enough advisors to make the switch to branch management.

Don’t let negative thinking become a self-fulfilling prophecy when starting a practice.

Asset management industry leaders say the reason for creating Luminex was because of the challenges in trading large blocks in existing stock markets.

An estate planning tool that is particularly valuable when rates are low is coming under political pressure.

In the past 12 months investors traded $18.2 trillion worth of ETF shares, according to data from the NYSE and Bloomberg. That means the amount of dollars exchanging hands through ETFs is now more than the U.S. GDP, which stands at $17.4 trillion.

"This disturbs me to the core," Sheryl Garrett says after FINRA election; new FINRA leader says his views were distorted.