Independent BDs

After appointing the committee and starting a new conference series, co-chairs Fanci Worthington and Stephen Oliver are asking all advisors to get involved.

From compliance to technology and succession, advisors may be under the wrong impressions about launching their own firms.

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.