Both firms have signed confidential nondisclosure agreements, allowing them to look at proprietary information that could lead to a merger
Eleven recruiters have left the IBD since the end of 2016, according to an InvestmentNews<i>​ </i>tally.
Penny Pennington, who's been named to succeed Jim Weddle at the start of next year, will join a handful of women in top positions at large financial firms
Firm hires Michael Murray, a recruiter at LPL, as its head of business development.
In a business increasingly difficult for individual business owners, Mr. Grant built the independent broker-dealer into one of the more successful firms in the industry.
Utah moves to charge Cetera, LPL and CUSO over failing to represent credit union relationships correctly.
Two Colorado insurance agents who sold the Woodbridge real estate scheme continue to market themselves as retirement planners
Independent broker-dealer says it has added $70.2 billion in net new assets as a result of the acquisition.
Firm will also buy back securities from investors, plus pay them 3% annual interest.
He says leaving the broker protocol agreement is not a good thing and that firms shouldn't be going to court to prevent 'client choice.'
