-
The No. 1 IBD has completed the NPH acquisition, but CEO Dan Arnold unveiled further growth initiatives amid challenges to its dominance.
May 4
-
Jodi Perry took over as national director of the independent contractor division as the firm seeks to keep up its strong momentum.
May 3
-
State regulators and the No. 1 IBD struck a settlement after investigators found the firm guilty of negligence and a failure to supervise.
May 2
-
The firm is prioritizing its most productive advisors after shedding some 30% from its headcount.
May 1
-
Allegations of undisclosed private securities transactions by a former advisor followed two significant mutual fund cases involving the IBD network’s practices.
May 1
-
A massive acquisition also helped boost the No. 1 IBD’s headcount by 833 advisors year-over-year to 15,210.
April 30
-
The firm also reported record revenue and pre-tax income for the recent quarter.
April 27
-
A 41-year industry veteran says his practice was seeking “a new strategic partner to help us take the next step in our firm’s growth.”
April 26
-
The private equity-backed IBD is "very appealing to advisors in that larger independent setting," its top recruiter says.
April 26
-
The No. 1 IBD announced the new NTF offerings and additional flattened prices for its corporate RIA.
April 26
