Economy

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.

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.

Two advisors who oversaw $300 million in assets at UBS have left to join Merrill Lynch.

A team formerly with Lincoln Financial Advisors will join an LPL-affiliated hybrid RIA.

Newly appointed CFO has 18 years of industry experience; replaces Dan Arnold.

The wirehouses are increasingly relying on lending to strengthen client relationships, create stickiness for the firm and boost revenue.

Two veteran industry recruiters discuss the appeal of going independent.

A new set of players have shaken up the independent broker-dealer landscape, showing that there's more than one way to throw your weight around. See this year's top players.

While the biggest independent B-Ds have been fairly quiet, the deal-making has shifted to other players. See who's in focus now.

Alejandro Ariel Torres allegedly cheated a customer out of nearly $60,000 in a start-up scheme that purportedly made the client a 50/50 partner. Torres was ordered to make the customer whole.

The revised proposal would require brokers to disclose to clients the compensation they receive when jumping to a new firm.

Rose Cohen will join Citi in August as managing director and ultrahigh-net-worth team lead in Washington, D.C.

Richard Ketchum voices support for SEC to move on a uniform fiduciary standard for brokers and advisors, while warning of unintended consequences from DoL's proposal.