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Two advisers joined Confluence Financial Partners, which is affiliated with Raymond James.
July 14
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The firm's latest hires come from Morgan Stanley and Raymond James.
July 13
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The two ex-wirehouse advisers each had about 20 years of industry experience.
July 12
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The largest recruits managed more than $17 billion in client assets.
July 11
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The four new recruits moved to Raymond James’ independent broker-dealer.
July 11
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BIC took a fresh look at its top program managers and re-ranked them based solely on productivity.
July 11
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The firm settled charges by Vermont securities regulators connected to a ski resort at the center of an alleged $200 million fraud. A related lawsuit filed by an SEC-appointed receiver is pending.
July 1
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Most banks and credit unions outsource their investment programs to third-party broker-dealers. Here's how they stack up.
June 28
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Enforcement actions at the SEC and FINRA highlight emphasis regulators are placing on fees and reverse churning, anti-money laundering programs and variable annuities.
June 23
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BIC took a fresh look at its top program managers and re-ranked them based solely on team assets under management.
June 21
