Raymond James Financial

The recruit spent two years researching the move before deciding to leave the wirehouse.

Several of the largest moves this year show top talent is looking beyond traditional choices.

Two advisers joined Confluence Financial Partners, which is affiliated with Raymond James.

The firm's latest hires come from Morgan Stanley and Raymond James.

The two ex-wirehouse advisers each had about 20 years of industry experience.

The largest recruits managed more than $17 billion in client assets.

The four new recruits moved to Raymond James’ independent broker-dealer.

BIC took a fresh look at its top program managers and re-ranked them based solely on productivity.

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.

Most banks and credit unions outsource their investment programs to third-party broker-dealers. Here's how they stack up.

Enforcement actions at the SEC and FINRA highlight emphasis regulators are placing on fees and reverse churning, anti-money laundering programs and variable annuities.

BIC took a fresh look at its top program managers and re-ranked them based solely on team assets under management.

Also, J.P. Morgan saw a team managing $300 million in client assets go independent.

Three industry veterans – one with more than four decades of experience – oversaw more than $205 million in client assets, according to Raymond James.

The adviser, who has more than 30 years of industry experience, left to join Noyes.

The recruit had $1.8 million in annual production before making the move, the regional BD said.

The New Jersey bank moved its investment services program to Raymond James after a 14-year relationship with Essex Securities.

The firm is facing a lawsuit on behalf of investors who lost money in a $350 million Ponzi scheme.

Close scrutiny of data from the nation’s largest IBDs reveals some surprising shifts, with more to come.

The independent broker-dealer industry could lose a third of its brokers and many of its smallest firms, experts predict. What does that mean for survivors?