Independent BDs

The firm has made formal hiring offers totaling approximately $214 million as of June 30.

Critics reject the notion that disclosure alone is sufficient for reigning in conflicts — but the charges against Commonwealth have put BDs on notice.

HD Vest's parent displayed the growth coming from the acquisition of its former rival.

A barred and terminated former Securities America advisor’s conduct was “appalling, reprehensible and evil,” according to a federal judge.

One team wanted more flexibility and time to manage their clients’ financial needs.

CEO Philip Sanders admits the past two years of the segment’s overhaul have been “a grind,” but he says it’s now ready to grow.

The stark figures show that only about one-sixth or fewer of the sector’s financial advisors are women.

The firm didn't disclose its conflicts of interest in receiving over $100 million in revenue sharing from mutual funds over nearly five years, the SEC says.

Ladenburg Thalmann's largest firm has added at least five teams in the wake of recent acquisitions by rivals.

The freshly recapitalized firm is offering succession services without any custodial or affiliation requirements.