Two Securities America brokers and their firm must pay the large award after a case that leaves many unanswered questions.

The Financial Services Network viewed its relationship to LPL as a “dealbreaker.” So Marty Bicknell’s giant RIA is making room.

In the latest sign of big wealth managers displaying some flexibility, Marty Bicknell’s team unveiled another collaboration with a firm often considered a rival.

Announcements involving Fidelity, LPL, BNY Mellon and other well-known firms signal how talent and capital are shaping the industry's future.

Financial advisor Jennifer Marcontell went independent after more than 20 years with her prior brokerage, which itself is making a major change to its structure.

Toronto-Dominion Bank, the Canadian bank that’s been expanding through acquisitions, is weighing a deal for the brokerage firm Cowen, according to people familiar with the matter. 

Missouri-based UMB Financial says it would acquire 157,000 accounts across more than 3,000 employer groups from Old National Bancorp in Indiana.

Atlantic Union in Virginia made the most of its four-year foray into the registered investment advisory business, but it decided to take a step back after concluding one of its banking clients would do an even better job and that it could invest the proceeds elsewhere.

The private equity-backed firm and other giants of the industry are deploying their capital across new and existing lines of business.

The wealth managers respectively recapitalized as the spigots of capital keep expanding in the industry, even amid signs for concern in the larger economy.

A major recruiting move and a large acquisition reflect a marketplace that experts say hasn’t been negatively affected by volatility, inflation or rising interest rates.

The latest on advisors moves, executive appointments and other M&A activity this week in wealth management.

A giant wealth manager is expanding its reach in a rapidly consolidating channel of the industry that simultaneously needs to hire a lot more financial advisors.

A roundup of advisors on the move, executive appointments and other M&A activity this week in wealth management.

With a new high in firms and financial advisors in the channel, an increasing array of competitors are pitching themselves as the edge.

Wirehouse breakaways, RIA acquisitions, career moves and more this week in wealth management.

The award-winning advisor marketing technology firm is celebrating a new deal on the eve of its inaugural conference in Las Vegas.

See which firms, advisors and executives made moves this week in wealth management.

Whether an anticipated acquisition or a surprise move, industry deals can sometimes make sense, but they can also leave questions.

First Horizon Advisors resolved a supervisory investigation involving a former rep after its parent firm announced it’s being purchased for $13.4 billion.