Economy

A FINRA arbitration panel ruled in Merrill's favor and against the former wirehouse advisor, although one arbitrator dissented in awarding the firm about $200,000 in attorney's fees.

The team generated nearly $4 million in annual revenues while at Morgan Stanley and joined Raymond James' employee channel.

Financial Planning unveils its annual list of the industry's biggest independent broker-dealers.

The community bank says that LPL's compliance resources and technology were major factors in its decision.

Webster Private Bank hires regional executive to expand the private banking team in the Boston area.

The regional firm landed an advisor with more than three decades of experience.

Some advisors might land a sizable payout, according to documents seen by On Wall Street.

Advisors choosing independence do well as a pack.

Gregory Fleming, president of Morgan Stanley Wealth Management, says advice and advisor training will always have a role in the advice sector, which also must address its diversity problem.

The deal will give Stifel about 180 financial advisors managing $56 billion in total client assets.

The regional brokerage hired two new executives and promoted a third in a bid to provide more planning support to the firm's advisors.

The firm's recruiting win mirrors similar pickups of billion-dollar teams by rivals Merrill Lynch and Raymond James.

There are some regulatory red flags that all advisors must pay attention to. But RIAs and brokers also face hurdles specific to their businesses when it comes to staying out of hot water.

The Braddock Group left the independent broker-dealer for the regional.

John Lang and Michael Taylor of Morgan Stanley left their firm to launch a new ultrahigh-net-worth wealth management unit at BankPlus.

The regional broker-dealer lured away the wealth managers from Wells Fargo.

A federal grand jury has indicted a former broker with Securities America and Investors Security Company on 16 criminal counts ranging from wire fraud to money laundering.

Incomplete BrokerCheck reports give investors a false sense of security, critics say; Some Google searches do better.

The group left Morgan Stanley and represents the biggest recruiting grab in the super regional's history.

Some of the independent B-Ds specialize in high-end clients with big accounts. See which firms reported the highest share of accounts topping $100,000 -- and what their total client assets are.