Wirehouses

Robert Peyreigne was hired to fill the role after Michael Armstrong departed Jefferies for RBC earlier this year.

The planners left J.P. Morgan, UBS and Merrill Lynch to go into business for themselves.

The regional firm ups its recruiting momentum with two wirehouse advisers.

The new hires come from RBC, UBS and First Republic.

The new recruits come from Stifel and IBD ValMark.

The adviser joins the regional BD during a push to grow the firm.

Experts and advisers weigh in on what to expect and how to discuss the future.

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.

Here's how the outcome of the presidential election could affect the trajectory of the Labor Department's regulation.

Here's what to watch for just before the counting of ballots begins.

Several senators conducted their own review of FINRA reports and said they found that Wells Fargo had “ample information” about the severity of the bogus account practices for years.

Try this low-key approach with clients for maximum success.

Try this low-key approach with clients for maximum success.

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

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

The advisers made the move in the wake of new regulatory guidance which takes aim at recruiting deals.

Two industry veterans joined the fast growing regional brokerage firm.

"There are ways to potentially be cute with it. You could potentially cut out retirement business from the back-end bonuses," says an ex-Merrill Lynch executive who works in the independent space. "Cute doesn't usually work when it comes to regulators."

The early decision stops advisers from earning commissions on products that will also generate fees through the firm's Investment Advisory Program.

New guidance from the Department of Labor provides conditions under which firms can offer bonuses and other compensation incentives.