Independent BDs

This filing follows January’s prearranged bankruptcy, and is part of the plan to fully restructure Cetera by May.

As of May 2, CFPs will lose the right to sue the board.

Unscrupulous advisors are finding safe havens, and fear no regulatory body.

The new recruits made the move to HighTower from Morgan Stanley and SunTrust.

Implementing the rule is a key legacy goal of the Obama administration.

Bowing to legal pressure, Lightyear says it will not try to hire 43 top executives – at least for now.

Two veteran advisors overseeing over $210 million left the wirehouse this week to join the independent firm that is affiliated with Raymond James.

The broad-based price reductions could force other IBDs out of business, one expert thinks.

During questioning by Sen. Warren, FINRA CEO Richard Ketchum said the regulator may set up a new fund for "terribly harmed" investors.

Voices: For smaller B-Ds, there will likely be an added cost of obtaining an unbiased assessment of the consistency, accuracy and suitability of their robo tools.

Royal Alliance, SagePoint Financial and FSC Securities "willfully violated" securities law and breached their fiduciary duties to clients, the commission says.

The new retirement platform will support advisors who are transitioning to the fiduciary model.

LPL's stock buyback proved to be 'sweet' deal for TPG Capital, The New York Times reports.

Every firm, no matter how small, needs a sales strategy. Here are three essentials in creating one.

Will golden handcuffs keep planners, or have they had enough?

Salesforce says the crucial difference between its platform and similar, all-in-one offerings is that "it is a client-centric platform, not a product-centric one."

Deferred compensation funds totaling "less than $100 million" have been excluded from collateral in the RCS Capital bankruptcy, RCS says.

As part of the deal, MetLife will be the exclusive developer of certain annuity products issued by MassMutual.

Departed executives could inflict ‘irreparable’ harm on Cetera Financial Group as parent RCS Capital goes through bankruptcy, suit says.

The client originally sought $18 million for breach of fiduciary duty and churning among other alleged wrongdoing.