Ladenburg Thalmann Financial Services

Firms who resist or fail to understand advisors’ needs will lose the game, according to a panel of executives.

The network’s largest subsidiary will support fee-only advisors, and one of its smaller firms is targeting five times its level of recruitment from 2018.

The retirement plan-focused group’s new OSJ had left the No. 1 IBD in 2017 and will grow to 160 advisors under the move.

The IBD network’s parent repurchased the majority of Dr. Phillip Frost’s shares just before the SEC filed proposed settlements of its pump-and-dump case.

Former Securities America rep Hector May carried out a 20-year scam through his outside RIA, according to prosecutors

The 4,300-advisor network is investing in insurance distribution after benefiting from rising interest rates and record client assets.

The group opted to join the corporate RIA at the Ladenburg IBD with an eye toward greater independence with some outsourced tasks.

Dick Lampen says the SEC charges against Dr. Phillip Frost, the firm’s primary shareholder, won’t affect its “significant” other resources.

Dr. Phillip Frost, the principal shareholder of the IBD network’s parent firm, has stepped down, giving way to CEO Richard Lampen.

The agency says the biotech magnate and nine others made $27 million pumping up penny stocks.

The deal with the family-run independent insurance firm followed record sales in fixed-index annuities.

The SEC says the 33% owner of the parent of the IBD network participated in unlawful microcap stock sales resulting in “virtually worthless” investments.

The IBD network is following its rivals in launching a centralized program on succession planning and acquisitions.

Clashes over the Labor Department's fiduciary rule have carried over into the debate on the SEC's proposed regulation.

The IBD network disclosed the renewal of its clearing agreement, along with three firms’ intention to self-report possible mutual fund violations to the SEC.

Securities America and Atria Wealth Solutions hired recruiting and operational heads from Ameriprise and Cetera.

Although the industry reflects stark disparities, these firms are leading their peers in the hiring of female registered representatives.

At least six RIAs have left since the No. 1 IBD announced a change in policies last November.

The network brought together three dozen advisors with 20 tech vendors as it seeks their input on potential partnerships and acquisitions.

Clients thought they were investing in real estate developments that would be flipped for profit.