Independent BDs

The private equity firm completed the largest IBD purchase of the year by acquiring the majority of the 7,700-advisor network.

Can FINRA suspend the advisor’s license?

Not all firms have procedures in place. Of those that do, about 20% aren’t enforcing them.

Being an independent advisor isn’t for everyone.

Dick Lampen says the SEC charges against Dr. Phillip Frost, the firm’s primary shareholder, won’t affect its “significant” other resources.

While the No. 1 IBD has retained a significant portion of the hybrid RIA’s advisors, its founder says the firm has major outside recruiting opportunities.

Gratz Park Private Wealth will offer internships and shadow programs to college women interested in business.

The advisors include the father, mother, daughter and son.

Charged with leading the firm’s recruiting and sales strategy, Scott Posner will report to the recent successor to Bill Morrissey, who left the firm last month.

While the IBD advocacy organization supports the proposal’s approach, key questions loom over the timeline and makeup of the potential regulation.

A team of four women is moving to LPL in pursuit of what they say is a less difficult, lower-fee alternative.

Bari Havlik says she needs to know when examiners’ rulings appear out of step with the actual guidelines.

Under SEC rules, an advisor was statutorily disqualified after driving under the influence. Can he ever register with a brokerage again?

The holding company launched only two years ago, but it’s already made two purchases and has several more in the works.

Dr. Phillip Frost, the principal shareholder of the IBD network’s parent firm, has stepped down, giving way to CEO Richard Lampen.

The practice is at least the second this year to jump from the Advisor Group firm to its similarly sized rival.

Upon closing, the deal will push Wealth Enhancement’s advisor head count beyond 70 financial planners.

The No. 1 IBD drew in a team composed of both CPAs and advisors.

The race is one of several this cycle featuring candidates from the wealth management space.

The four-advisor practice joined the No. 1 IBD after its CEO pledged to transform the company’s culture.