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Former Philadelphia Eagles player Merrill Robertson Jr. funded "luxurious" lifestyle with life savings of football coaches, complaint says.

Client claimed that adviser's recommended strategy earned fees and commissions for the bank but wrecked his inheritance from his great grandfather.

Paul Morris is one of a growing number of recruits that the wirehouse has rehired after they had previously left the firm.

Arbitrators for the regulator also awarded an expungement to Dale Cebert, who claimed a campaign to damage his reputation followed his termination from the wirehouse.

Independent advisers need to redefine their service to factor in the intrinsic values they bring to clients, says TD Ameritrade Institutional President Tom Nally.

David Kowach oversaw approximately 11,000 advisers as head of the Private Client Group.

See which independent broker-dealers generated the most revenue from fee-based accounts.

A Triad executive says the firm aims to work with more advisers who want to go independent but who need help dealing with increasing regulatory burdens.

The digital M&A trend has much in common with the wildly popular game app.

Assets under advisement were said to be $13 billion. The AUM was much less.

Entering his fourth year in the business, Evan Savarick explains why joining his father’s team was the right move.

One of the alleged fraudsters used client funds to pay off gambling debts, according to authorities.

The volatility can be painful, but these funds are often used to diversify portfolios and generate alpha.

The bank's heavy concentration of mass-affluent customers gives it a strong advantage over its rivals, Citizens claims.

Some are better than others, with a few not yet updated for a law that eliminated double dipping.

Some are better than others, with a few not yet updated for a law that eliminated double dipping.

WealthSource Partners joins regional broker-deal’s Investment Advisors Division.

The regional brokerage firm also said it recruited three advisers overseeing more than $150 million in client assets.

There’s one goof every adviser should take extra precautions to avoid: being careless about those IRA beneficiary forms.

The final installment of our annual listing, organized alphabetically.