Regional BDs

The regulator found the firm was deficient on capital requirements and, on 84 occasions, did not accurately calculate its customer reserve requirements.

Industry insiders have anticipated increased litigation following UBS and Morgan Stanley's exits from the Broker Protocol.

This is the second time in recent weeks that the firm has poached talent from the wirehouse.

John Taft comes to the firm after a long career in wealth management. He will focus on developing advisor services and recruiting new teams.

The advisor was drawn to the regional BD’s small culture.

CEO Jim Cracchiolo says the firm’s headcount is poised for growth again following a stagnant year.

The former Edward Jones broker wanted to get back at his competitor for stealing a client.

On Wall Street honors elite young producers at the regional BDs.

The firm, which has roots going back 130 years, sees a way to potentially turbocharge growth.

The move marks the firm's second hire in the past week.

The advisors joined the firm's recently opened office in Flint, Michigan.

The firm has been driving its expansion, pulling in talent from its competition.

The pair was drawn to the firm’s “similarly aligned” culture.

Stifel says the fact that it owns a bank — instead of being owned by one — is a big appeal in recruiting.

Among FINRA’s findings, it said the broker-dealer “unreasonably excluded” some employees who were handling customer accounts from email scrutiny.

The Landmark Group ditched the large firm for Fieldpoint Private, a boutique firm with 28 advisors.

Advisors are jumping to firms with established infrastructure.

The seven new hires joined both the independent and employee channels.

Some brokerage firms are concerned that the tax overhaul could spur their employee advisors to set up their own shops or switch firms to lower their tax bills.

The change builds on earlier policy shifts at Ameriprise, which previously pulled more than 1,500 funds from its platform.