Independent BDs

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.

The three recruits joined the independent firm from Wells Fargo and Edward Jones.

How some firms bypass traditional methods and offer points and rewards programs.

If you plan to join another firm or go indie, you’d better reacquaint yourself with this landmark agreement first.

CEO Ron Kruszewski says market conditions and the fiduciary rule are dampening growth at the firm and throughout the industry.

Amid reports of a possible sale, assets rise and expenses fall.

Regulator comes down hard on compliance failures; additional $6.3 million must be paid back to investors.

How advisers can prepare for renewed interest in alternatives.

Following Commonwealth Financial Network's decision to cut its commission-based retirement business, some competitors head in the opposite direction.

"We fully expect to offer a range of options to help our clients," CEO Paul Reilly said.

CEO Jim Cracchiolo said the firm will still offer variety on its platform, but that it needs to make sure products are "appropriate for the client."