Is this a trend? Another private equity firm has invested in the RIA space -- and this time the buyer is the giant Carlyle Group.

'Stay bonus' be damned: LPL's gain is Securities America's loss as two top producers depart

While Securities America looks to find a suitor -- and tries to stop reps from bolting -- other B-Ds are on the prowl for the firm's top producers. The big winner so far? LPL.

Securities America this week asked reps to sign a letter expressing their suppport for the firm. For some, the letter signals the besieged B-D is close to being sold,

After avoiding the pitfalls of disastrous Regulation D deals over the past decade, Commonwealth Financial Network and LPL Financial LLC are contending with potential fallout from a real estate private placement that faces pressure from its creditors

Another troubled broker-dealer is closing, but with a twist: The firm is telling its advisers to move en masse to another firm, according to brokers at the firm and industry recruiters

The Financial Services Institute, the lobbying organization for independent broker-dealers, said Friday that it had picked up the support of advisers this week from sizable independent broker-dealer Investors Capital Corp.

A broker-dealer that was a prominent seller of high-risk private placements that wound up going bust has almost wiped the slate clean of costly litigation that could have impaired the firm's financial condition

A broker-dealer that was a prominent seller of high-risk private placements that wound up going bust has almost wiped the slate clean of costly litigation that could have impaired the firm's financial condition.

In a major hire for his new registered investment advisory firm, CWM LLC, Ron Carson has announced that well-known veteran investment adviser Rob Isbitts will become chief investment officer of the firm, which was launched July 1