Independent BDs

On-demand, highly specialized and competitively priced: If it works for car sharing, why not for financial services?

Sales agents and advisers interact very differently with clients, columnist Bob Veres says. Here's how to tell which category applies to you.

Only 18% of RIAs refrain from these key conflicts of interest, a new study by the Institute for the Fiduciary Standard found.

Lincoln Investment will gain 350 advisers in its acquisition, which CEO Ed Forst foresaw 20 years ago.

See which independent broker-dealers are managing the biggest asset base for client accounts.

Should advisers opt for better platform options or losing back-office and administrative tasks?

Should advisers opt for better platform options or losing back-office and administrative tasks?

The public has a right to review the board’s documents, husband-and-wife planners Jeffrey and Kimberly Camarda say.

Decision expected in appeal of case brought by advisers the board says called themselves fee-only inappropriately.

These independent broker-dealers generated the most revenue from commission-based accounts.

"Given all of the turmoil there, you need to have some consistency in leadership and [Roth] was it," one expert says.

Is Roth on his way out?

See which independent broker-dealer boasts a compliance staff of more than 500, and which top firms have fewer than 100.

These investment advisories paid the price for passing along performance data faked by a third-party manager.

To help identify fraudulent advertising , advisers will be required to create and maintain documents that demonstrate performance calculations or returns.

The group includes two recruits who began their careers in the late 1970s.

The recruit joined a practice opened by a former complex director from the same wirehouse.

Edward Wedbush allegedly failed to supervise mandated regulatory filings.

The country's largest independent broker-dealer says compliance with the new fiduciary rule will offer competitive advantages.

This in-house position helps one firm attract larger clients and build contractual relationships with descendants.