Fines, levied in July and August, top $500,000; Voya Financial takes biggest hit
The REIT czar is not selling his real estate management business to the private equity giant.
2,041 advisers surveyed by <i>InvestmentNews</i> weigh in on the presidential election
Tracking the more than $26 billion in AUM that changed firms late in 2015.
The question for next year is whether independent broker-dealers can regain the momentum they enjoyed in 2009 and 2010.
Rising rates should bring a vital cushion to the balance sheets of independent broker-dealers.
For the second time since the credit crisis, noted private equity investor Donald Marron is making a hard charge to acquire the large IBD.
Financial Services Institute supports legislation to replace Labor Department's rule, and is not ruling out a lawsuit if it is finalized.
Some are feeling skittish about their future prospects as parent company RCS Capital Corp. operates under an $800 million debt burden.
Global Wealth Partners, with $400M in assets, joins DFPG Investments Inc., a boutique firm that specializes in real estate
Advisers should take a deliberate approach to charting their future. Here's what to look for.
Commonwealth Financial Network managing principal John Rooney says a combination of higher costs and less revenue, thanks to the DOL fiduciary rule, will cause widespread consolidation of independent broker-dealers.
Regulator focuses on potential violations regarding misrepresentations, suitability, and supervision
Robert W. Cook, the former director of the division of trading and markets for the SEC from 2010 to 2013, will take over the reins of the brokerage industry regulator.
Black Friday sales come early for buyers of independent broker-dealers as a slew of available firms puts pressure on prices.
It may be more essential to negotiate how a note is forgiven than the amount of capital that is being offered.
Industry vet replaces Michael Weil, longtime associate of Nicholas Schorsch.
In moves that indicate across the board belt-tightening at LPL Financial, the company has eliminated as many as 70 jobs and is delaying raises to employees next year by at least six months.
