Organization Root Tag

The nation’s largest independent broker-dealer has had a net loss of 121 advisors this year, mostly to three major OSJs.

Data reported by the Investment Company Institute.

The negotiations come as asset managers seek to increase the amount of money they oversee amid growing pressure to slash fees.

Two factors drove Morgan Stanley's Nick Kavallieratos to the top of On Wall Street's 40 Under 40 list earlier this this year.

The advisors collected $1.7 million by fraudulently pushing variable annuities, investigators say.

Class-action lawsuits inspired by the DoL regulation “may go away,” says a prominent ERISA attorney.

John helped found the coalition between the board, NAPFA and the FPA.

The execs were moved up to roles overseeing key markets in the New York Tri-State and mid-Atlantic regions.

The group previously generated almost $2 million in annual revenue, according to their new employer.

The advisors come from a firm reported to manage over $5 billion in assets.

A judge issued a ruling after intensely scrutinizing advisors' emails and text messages to clients.

Mounting concern over the potential impact of rising interest rates has many investors seeking lower-cost options.

There wasn’t a lot of diversification among the top funds as technology has dominated the market gains in recent years.

The rep took more than $1,500 from the bank's cash drawer over a three-month period beginning on New Year's Eve last year, FINRA claimed.

More than 80% of the richest clients want big asset growth later in life, according to a new UBS survey.

Investors in his $1.4 billion closed-end offering saw huge gains as a result of stellar performance from his $88.9 billion Income Fund.

The hybrid firm stated it now has $4.9 billion in AUM, with $1.4 billion gained this year alone.

A new industry snapshot highlights record firm count and AUM, while continuing steep client growth fueled in considerable part by the rise of robos.

The IBD spent $77 million on technology upgrades in 2016.

They made the move in part because of the marketing and research resources the firm offers, says new hire Todd Kissel.