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The independent firm affiliated with Raymond James recruited six advisers for a new branch office.
February 24
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The platform provider added a breakaway RIA to score a victory in its battle with rival HighTower.
February 23
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The planner-turned-RIA owner is an industry veteran of nearly four decades.
February 21
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In spite of its own compliance policies, the firm failed to get several hundred clients to sign a disclosure notice that described risks associated with inverse ETFs.
February 14
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The adviser used the money to fund his “lavish lifestyle,” including $1.6M for private jet services, according to authorities.
February 9
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Two advisers in the group are industry veterans who began their careers in the mid-1990s.
February 8
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The former planner says she was wrongfully terminated and that she did not agree to settle with the wirehouse.
February 8
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Morgan Stanley, Merrill Lynch and the other wirehouses gained and lost several standout recruits .
February 2
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The advisers left Wells Fargo and Morgan Stanley to form one team, the second addition in two weeks.
February 1
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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.
January 27
