Industry group sees trouble when brokers get out of paying back notes.
Fourth quarter flurry helped boost numbers over 2011 tally but just barely.
Small-firm seat on regulator's board is open; will be filled at annual meeting in August.
Focus Financial Partners LLC said last Monday that it has added Telemus Capital Partners LLC of Southfield, Mich.,…
Independent registered investment advisers and discount brokers are expected to continue picking up market share from traditional brokerage…
Advisers too busy adding clients and assets to pursue transactions.
Restructuring, if it happens, won't likely affect Merrill's advisers.
New hires to serve as regional directors; firm plans big advertising push.
Revamped Finra rule could allow the regulator to probe deeper into outside business activities of registered representatives, as well as affiliates and parent companies of broker-dealers
Independent broker-dealer firms are making a run for the registered investment adviser custody business. With the risk…
