Independent BDs

Charged with leading the firm’s recruiting and sales strategy, Scott Posner will report to the recent successor to Bill Morrissey, who left the firm last month.

While the IBD advocacy organization supports the proposal’s approach, key questions loom over the timeline and makeup of the potential regulation.

A team of four women is moving to LPL in pursuit of what they say is a less difficult, lower-fee alternative.

Bari Havlik says she needs to know when examiners’ rulings appear out of step with the actual guidelines.

Under SEC rules, an advisor was statutorily disqualified after driving under the influence. Can he ever register with a brokerage again?

The holding company launched only two years ago, but it’s already made two purchases and has several more in the works.

Dr. Phillip Frost, the principal shareholder of the IBD network’s parent firm, has stepped down, giving way to CEO Richard Lampen.

The practice is at least the second this year to jump from the Advisor Group firm to its similarly sized rival.

Upon closing, the deal will push Wealth Enhancement’s advisor head count beyond 70 financial planners.

The No. 1 IBD drew in a team composed of both CPAs and advisors.

The race is one of several this cycle featuring candidates from the wealth management space.

The four-advisor practice joined the No. 1 IBD after its CEO pledged to transform the company’s culture.

Firms’ head counts show how they’re responding to a challenging time in which experts predict the number of advisors to fall in coming years.

Regulators in Massachusetts launched a “sweep” of more than 60 firms that sold nearly $1.3 billion in limited partnerships sponsored by GPB Capital.

The tax-focused IBD is betting on a switch to Fidelity and Envestnet while undergoing a cultural shift.

Larry Roth, who was also head of AIG Advisor Group, is offering up his expertise after helping both firms navigate difficult years as their chief executive.

The deal with the family-run independent insurance firm followed record sales in fixed-index annuities.

A settlement with Massachusetts regulators resolved a nontraded REIT case, but NPH’s terminations from FINRA and a handful of states are still pending.

The SEC says the 33% owner of the parent of the IBD network participated in unlawful microcap stock sales resulting in “virtually worthless” investments.

Stratos Wealth and other OSJs are offering more types of affiliation and equity deals in a bid to stem a competitive threat.