RIAs

Nicholas Mitsakos allegedly used the funds to pay his credit card bills and make payments on his Mercedes, authorities charge.

The Windfall Elimination Provision may reduce the amount of retirement income clients are expecting.

After taking away CFPs' right to sue the board, it makes two concessions to critics. Still, the process points to governance problems at the board, Michael Kitces says.

Two veteran advisers opened a new office for the firm.

The firm was "cut out" from an entire class of advisers, says CEO Alexandra Lebenthal.

Former Philadelphia Eagles player Merrill Robertson Jr. funded "luxurious" lifestyle with life savings of football coaches, complaint says.

Paul Morris is one of a growing number of recruits that the wirehouse has rehired after they had previously left the firm.

Arbitrators for the regulator also awarded an expungement to Dale Cebert, who claimed a campaign to damage his reputation followed his termination from the wirehouse.

Independent advisers need to redefine their service to factor in the intrinsic values they bring to clients, says TD Ameritrade Institutional President Tom Nally.

The percentage of M&A deals involving brokers leaving for advisory firms has plunged.