Independent BDs

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.

The firm's bottom line was battered by higher expenses and weak revenue growth due in part to recent market volatility.

One impersonated a client, another grabbed client funds via ATM withdrawals and a third stole from a nonprofit, FINRA says.

Brokers' clients received letters from LPL that implied he stole money, over a $20,000 loan he had repaid, lawyer says.

The former broker turned consultant to planners was in financial straits, his wife told police.

The exit comes a month after Cetera filed for bankruptcy, and after the IBD said it’s having trouble with advisor retention.

Voices: Sometimes ‘intimidating’ but valuable ways to boost referrals find new prospects and build stronger relationships with current clients.

Applying for Social Security benefits early doesn't necessarily mean that applicants will receive the benefits early, an advisor explains to 64-year-old widowed client.

Raymond James lost another advisor to Wells Fargo’s IBD, while several Morgan Stanley advisors made the jump to independence.

LPL CEO Mark Casady expects "continued pressure on brokerage sales."

Don’t take the leap until you’ve asked yourself these questions about compensation and other important factors.