Independent BDs

Advisor Kip Adams says access to the IBD’s trading platform and tools have “already improved how we open new accounts and manage our business.”

Financial advisor Jacqueline Campbel led a diversity program at her old firm and has ambitious expansion goals for her new one after 25 years in the industry.

The quartet of advisors picked the nation’s largest IBD out of the increasing number of suitors available to ex-employee practices.

The 37-year veteran advisor’s settlement with FINRA is the latest phase of a two-year saga involving a father-son team at an Indiana practice.

One former rep is responsible for more than 80% of the firm’s sales of the defunct LJM Preservation & Growth Fund.

Ancora, which previously took on Bed Bath & Beyond and Big Lots, argues the company suffers from poor leadership.

With a new brand and new leadership, the firm hopes to tap into a burgeoning wealth management sector.

Three recent criminal cases raise concerns that wealth managers and regulators aren’t detecting alleged fraud quickly enough or disclosing basic information about crimes and disciplinary problems.

The IBD network added a community bank’s investment program after exceeding the goals it set at the beginning of 2020, its head recruiter says.

The rep reeled in at least a dozen victims to the complex scam even though he was suspended from the industry for a different case, according to investigators.