Independent BDs

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.

See which independent broker-dealers generated the most revenue from fee-based accounts.

A Triad executive says the firm aims to work with more advisers who want to go independent but who need help dealing with increasing regulatory burdens.

Here’s a self-assessment exercise to help you determine where you are on the path to professionalism.

These firms grabbed the top spot when it came to rapid growth.

Uncertainty still surrounding the fiduciary rule is one reason why advisors say they are not committing to specific upgrades just yet.