Independent advisors

The case is the latest arbitration decision showing risks advisors run when they jump ship and think they can take investors with them.

One industry recruiter called the Aegis group at Lincoln 'the last people we expected to move.'

The banking giant plans to put all asset managers through training in Python programming language, whether they 'like it or not.'

Although most advisors and brokers see both pros and cons to operating outside the office, few are ready to abandon their new schedules.

As the RIA market expands rapidly, Goldman Sachs Advisor Solutions is gaining ground with more RIAs seeking bespoke services for ultrahigh net worth clients.

FINRA argues that brokerage representatives should have the ability to keep information about private residences out of public databases.

Panelists at the self-regulator's annual conference list instances when they should document the reasons for the investment advice.

A bill before Congress would let planners with certain securities licenses place clients' money in private markets regardless of their income or net worth.

Representatives of the industry argue the changes would fall particularly hard on planners who are authorized to make trades on behalf of clients.

The financial services firm continues to go before FINRA arbitration panels to defend itself against claims over ex-broker's actions.