Organization Root Tag

The rep argued that the money she received was not a loan but rather the proceeds from the sale of her tractor to the customer.

The acquisition of IPI will add about $8 billion to the independent broker-dealer.

The group consists of two advisers who generated $2.7 million in annual production, according to RBC.

Spouses on either side of the split can benefit — or lose — based on their claims strategies.

The broker’s written promise of 7% returns on a variable annuity made for a simple case, the lawyer for the claimant says.

Non-U.S. purchases of municipal bonds are up 32% from 2014. But not everyone is impressed.

The broker is the latest to leave the wirehouse, which recently reported its headcount fell by 145 advisers.

The advisors left the wirehouse in a quarter that saw it lose 145 advisers.

The bank cited Cetera’s digital platform as an attraction that will offer a competitive advantage to help grow its business.

On the heels of a record-breaking year in enforcement, the regulator takes aim at cybersecurity, anti-money laundering policies and protection for senior clients.

Done smartly, adding a new team member can re-energize a practice, experts say.

A look at starting payouts for wealth managers under 2017 compensation plans.

Clients may leave an adviser's office with a terrific filing strategy. But the actual process can prove daunting. Here's how missteps can be avoided.

Blue chip private equity firms Stone Point and KKR enter the RIA market with a majority stake purchase of the New York consolidator.

Amid the ups and downs of the bond markets, these funds attracted new investors.

Where can a wealth manager max out his or her pay? We take a look at starting payouts under 2017 comp plans.

The firm reported record revenues, net income and client assets for the first quarter.

Wealthfront is the first of the tech-powered financial advisers to offer securities-based lending. It will compete with the likes of Wells Fargo and Morgan Stanley.

First-quarter profits jumped almost 40% on $577 million in revenue.

The four advisers are the latest to bolt from Wells Fargo's Profit Formula platform.