Cetera Financial Group

The broker-dealer refuted allegations that it used false advertising to mislead customers into thinking that the investment services it provided through a Utah-based credit union were part of the credit union.

If Cetera ties itself to a culturally unmatched firm, the roadblocks it creates for itself may be too much to overcome, an industry recruiter says.

The securities watchdog reprimanded the broker-dealers for allegedly not distinguishing their services from those of the credit unions they did business with.

The largest IBD network is integrating data analytics into its recruiting and client leads after embarking on other major changes in recent months.

Cetera has provided financing and other services in more than 250 acquisitions across the IBD network since 2015.

The Chicago-based community bank is the second bank this year to move its business from Invest Financial.

The IBD network has retained Goldman Sachs for a structural review that could have major implications.

An advisor who is a former ballplayer set ambitious goals for 2021 with an alternate take on the hybrid strategy.

The advisor persuaded the customer to liquidate his IRA and invest the money in a risky and costly options trading strategy the advisor managed, FINRA alleged.

Robert Moore divided the firm's six IBDs into two channels, promoted a new COO and hired from a rival.

Cetera, Advisor Group and Securities America are unveiling upgrades they hope will help advisors save time while growing their businesses.

Robert Moore’s view sets him apart from other executives who argue that new talent will replace low producers.

Investigators say the broker spent his clients’ money on luxury cars and home improvements.

The Short Hills, New Jersey-based bank will look to Cetera to accelerate the program's growth.

The bank chose to integrate its program after its acquisition of 18 New York-based branches of First Niagara Bank last year.

LPL's acquisition of National Planning Holdings' assets alone resulted in 10 moves of $744 million or more of clients assets.

The bank, which has a focus on millennial investors, cited Cetera’s technology tools as a particular attraction.

As RIAs and regulations reshape the industry, the concern is real, a new Cerulli report says.

A new breed of combination life insurance and long-term care products is making it easier for middle-income Americans to secure coverage.

27 firms have signed on to the standard, but state regulators and industry groups are pushing for more.