Organization Root Tag

Who’s responsible for a digital problem caused by a third-party program? Not the vendor.

The new recruit generated $850,000 in annual revenue, according to the regional BD.

The new hire signed on to the regional broker-dealer during a recent wirehouse recruiting binge.

Ronald Kruszewski says a shift in the size of transition packages, made in response to the fiduciary rule, "benefits us competitively."

Fidelity report: What RIA buyers want and what sellers need to know.

Our chief competition is Fidelity and Schwab, says the digital-first firm's CEO, Jon Stein.

Planners will have control over the service, which will not be available directly to clients, according to the firm.

Morgan Stanley and Advisor Group are moving ahead with changes despite the possibility that the Department of Labor's regulation could be reversed.

Brokerage revenue is likely to drop for three to five years.

The firm also scooped up a market manager from Stifel.

The regulator was operating with three of five commissioners before Chairwoman Mary Jo White left.

Finding that investment unicorn is growing increasingly difficult — precisely because advisers have fewer advantages over one another, Michael Kitces says. But there’s a way to finesse it.

The wirehouse will make “many” of the pricing and product design changes it planned last year, include lowering commissions for trades involving stocks and ETFs “to the benefit of our clients,” according to an internal memo.

The wirehouse also reported record revenue of over $2 billion for the recent quarter.

The firm's latest offering provides access to international equity markets. Plus: Other launches.

By putting clients’ interests first and documenting conscientiously, advisors will comply with the rule, while also building trust.

Leaders in domestic stock, international stock, fixed income, and allocation and alternatives funds are recognized for standout performance.

Michael J. Breton admitted to using master accounts from Fidelity and Schwab to take winning investments for himself, while giving clients the losers, the Department of Justice says.

The settlement comes two weeks after Citigroup resolved similar charges with the New York Attorney General's office.

For the first time since 2008, a commission will propose long-awaited changes to the Standards of Professional Conduct. Areas under review include code of ethics and planning practice standards.