Economy

The regional firm's latest hires include several veteran financial advisors.

The advisor told victims that he would invest their money in Royal Alliance brokerage accounts but instead used the funds to make BMW car payments and pay for personal expenses, prosecutors claimed.

By the end of June, the Raymond James-affiliated firm says it will surpass its new partner additions for all of 2017.

Growing up in a house full of doctors, Mihir Patel was expected to follow in his family’s footsteps. He didn’t.

Fulvio Urbinati’s book of business includes clients in Chile and Peru, the U.S. and France.

The break on qualified business income will save company owners an estimated $415 billion over the next decade. Are your clients eligible?

The regional broker-dealer posted record revenue for the eighth year in a row.

After weathering the industry’s upheaval in the financial crisis, Adam Merino now co-leads a team serving about 35 ultrahigh-net worth families.

The firm provided some 82,400 initial and annual privacy notices to customers that were not compliant and in some cases provided no notices at all, FINRA claimed.

Nicole Christians joined Merrill Lynch as an intern and never looked back.

The broker-dealer refuted allegations that it used false advertising to mislead customers into thinking that the investment services it provided through a Utah-based credit union were part of the credit union.

Keith Apton got his first taste for finance while still in college.

"I'm not right for you," along with other surprising things I tell clients.

Investment advisors and broker dealers have different “relationship models” with clients, the chairman says.

The trickle of brokers leaving wirehouses for greater independence is quietly becoming a flood.

The regulator will save members tens of millions of dollars by helping them verify advisors’ Form U4 financial disclosures, Robert Cook says.

The No. 4 independent broker-dealer has unveiled two major recruiting grabs from its rivals in two weeks.

A chance encounter in an elevator set Merrill Lynch advisor Adam Rosenfeld on a new path.

Wells Fargo was among biggest losers as advisors jumped to other firms.

If Cetera ties itself to a culturally unmatched firm, the roadblocks it creates for itself may be too much to overcome, an industry recruiter says.