Regional BDs

This quarter the firm brought on 14 new advisors, who advised more than $1.1 billion in client assets at their former firms.

A Florida court will hear a client’s claim that the firm charges processing fees that had ranged as high as 10 times more than the stated purpose: transaction and clearing costs.

“High-touch” support, technology and firm culture played a part in career changes for seven advisors.

Schwab, Vanguard and LPL explained their approach to campaign donations as the industry and its supporting sectors provided $19 million in PAC contributions.

Earlier this year, Jason Kirkland was recognized for his “many contributions” to the firm.

Being an independent advisor isn’t for everyone.

Gratz Park Private Wealth will offer internships and shadow programs to college women interested in business.

More than half of the broker-dealer’s new hires come from Wells Fargo.

Robert DuKate initially stayed behind when his partner, David Katz, switched firms. Eight months later, he followed along.

The advisors join the regional firm from Morgan Stanley and Wells Fargo.