Independent BDs

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.

Voices: Mariner Wealth's Brian Leitner says there are key steps to take to ensure your practice actually benefits from the new (and costly) tech tools you want to implement.

Filing expected Sunday; advisors expected to receive distributions through retention packages.

After an abrupt exit from industry, Brown returns and reveals plans for the country's largest woman-run IBD, along with Lightyear's Donald Marron and Advisor Group's Erica McGinnis.

Depending on what is permissible under the Labor Department's forthcoming rule, "there will have to be adjustments on the part of the advisor and on the part of the firm," CEO Jim Cracchiolo says.

Regulator’s surveillance director says watchdog would review broker-dealers who implement automated advice, to determine if they properly assessed client risk tolerance.

Former Merrill Lynch advisors launch a new office with IHT Wealth Management.

To protect themselves from the industry self-regulator's scrutiny of these products, firms should take these actions.

After only two months in the role, Roth is being replaced by a restructuring specialist. RCS recently said it would file for bankruptcy.

CEO Paul Reilly said the fast growing firm's pretax income for its Private Client Group fell 25% year-over-year, and said market volatility was creating headwinds. Yet advisor ranks have climbed to record high.

In its second acquisition in a year, EP Wealth lands woman-owned RIA on its way to its growth target of $5 billion in AUM.