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The bank is the second to join the firm's network in less than a week.

George Merhoff poured his clients' portfolios into a handful of energy stocks that plummeted in value, ex-clients allege in arbitration cases.

Nascent partnership at largest female-run IBD ends as Erica McGinnis leaves top spot. Expect more heads to roll, one expert says.

See which independent broker-dealers have the highest revenue.

Also, Dynasty lured teams managing nearly $1 billion in client assets to independence.

The broker allegedly swiped $1,035 from the bank by using a fee-rebate system to wrongfully move funds into his checking and savings accounts.

The seven recruits made the move from three wirehouses, Raymond James and Stifel.

The first installment of Financial Planning's listing of degree programs for prospective planners.

The adviser allegedly placed more than 700 trades over three years, giving the client "little to no possibility" for a profit, the regulator says.

Luis Aguilar also weighs in on arbitration and SEC oversight of FINRA.

Top advisers are using these strategies to create well-balanced portfolios.

Families need reassurance that their money can last, says Michael Bapis of the Bapis Group.

The leading IBD cut a top consulting division that catered to its largest firms and set up potential conflict between groups of advisers: those in and out of OSJs.

Like their clients, brokers too need to watch how they react to markets.

Lending and cost cutting helped drive net income higher during the recent quarter, the wirehouse reported.

Don’t just say you do the right thing, show you do the right thing. Here’s how.

Advisers must act as reliable resources to protect clients’ futures and take their trust to heart.

The bank's three advisers and $300M in AUM leave LPL after more than a decade.

The country's largest independent broker-dealer added 100 advisers in the second quarter.

FINRA arbitrators hit the brokerage giants with the penalty for failing to catch a husband moving funds from his spouse's account.