Independent BDs

Who is poised to buy next year?

From regulators to technology providers to CEOs, these are the players who will remake wealth management in 2017.

Ex-RIA Richard G. Cody gave false reports to retirees for more than a decade, the SEC says. Many lost most of their life savings.

The new recruits joined from Merrill Lynch and Morgan Stanley.

The broker-dealer's digital offering will be priced "on the lower end of the spectrum," according to top company executives.

The model for financial advice "is primed and ready for change," says Cetera CEO Robert Moore.

The potential for the fiduciary rule to be scuttled by the Trump administration helped drive the decision, sources say.

The advisers are the first to obtain startup capital from the firm.

Casady provides both consistency and a fresh approach, leaders of the firm's OSJs say.

President Dan Arnold will be tasked with managing the rollout of new digital technologies and implementing the fiduciary rule.

The president and former CFO will step up at a critical time for the nation’s largest IBD amid competitive threats and pressure to boost its stock price.

The firm’s review process is called "paper-thin" after an adviser is charged with selling retirees unsuitable variable annuities and fabricating client information.

CEO Paul Reilly will take over for Tom James, who helped grow the firm into a major industry player.

A handy guide for advisers, legislators and regulators to decode the jargon used to talk about issues important to the planning profession.

Fiduciary rule preparation and new technology lures Integrated Financial Partners.

The recruits switched over to the independent channel of the regional firm.

The group, led by two brothers, joined the firm as partners and opened a new office for Noyes. It's now the firm's largest branch.

FINRA fines Lincoln Financial Securities for foreign hack attack.

The IBD selects UBS veteran to become CEO

A friendly memo to help top regulators in the next administration set priorities. One key point: planners and fee-compensated IRAs are the least of your worries.