Practice

The former broker is accused of making false claims about his client list at Stifel to earn a compensation advance from another firm.

Advisers will not be able to serve as many clients under a fiduciary standard, which likely will encourage more cross-selling.

One tip: Stop focusing on gaining new followers.

One tip: Stop focusing on gaining new followers.

The regional firm recruited its first adviser for Alex. Brown since acquiring the unit in September, and will reopen an old office in Annapolis, Maryland.

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.

Even the best plans can fall apart when clients' emotions get involved.

The wirehouse's moves are intended to remain competitive in the recruiting contest for top brokers.

Advisors Asset Management CEO Scott Colyer says loosening regulatory reigns may free up spending previously directed toward compliance.

The move limits the bank’s ability to make golden-parachute payments and requires regulator approval before executives are hired.