Independent BDs

"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.

The firm says it has put regulatory fines in its rearview mirror, has invested in tech upgrades and has devoted resources to helping advisers adapt to the DoL fiduciary rule.

How many women advisers work for the leading independent broker-dealers?

The chief executive of Foothill Securities said he was motivated to look for a buyer for some assets because of rising compliance costs.

The platform provider has added an estimated $1 billion in assets in two months.

The new member of Cetera's executive committee is knee-deep in efforts to ready institutions and their advisers for the implementation of the new regulation.

In a rare interview, Andrew Ceresney reveals the commission's beefed-up efforts, and what advisers should know.

Profits and revenues are down for all but one of the brokerages.

After taking away CFPs' right to sue the board, it makes two concessions to critics. Still, the process points to governance problems at the board, Michael Kitces says.

The firm was "cut out" from an entire class of advisers, says CEO Alexandra Lebenthal.

Former Philadelphia Eagles player Merrill Robertson Jr. funded "luxurious" lifestyle with life savings of football coaches, complaint says.