Broker-Dealers

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3 Questions: Brian Hamburger on adviser recruiting

3 Questions: Brian Hamburger on adviser recruiting

April 23, 2020

The founder and CEO of MarketCounsel discusses whether advisers are rethinking their plans to go independent

Finra proposes one-stop shopping for background checks on advisers

Finra proposes one-stop shopping for background checks on advisers

April 23, 2020

Under its proposed rule, BrokerCheck and the SEC's database would display the same information on dual registrants

Forget the bear! LPL is paying recruits like it’s 2019

Forget the bear! LPL is paying recruits like it’s 2019

April 22, 2020

Meanwhile, the giant IBD continues to evolve its business with a new offering targeting wirehouse advisers

Barred adviser gets prison time for GIC Ponzi scheme

Barred adviser gets prison time for GIC Ponzi scheme

April 21, 2020

Lester Burroughs allegedly misappropriated more than $500,000 from clients' accounts

Transamerica VA targets fee-based advisers

Transamerica VA targets fee-based advisers

April 21, 2020

The insurer added a new low-cost variable annuity product without living benefits

LPL exec moves to Advisor Group

LPL exec moves to Advisor Group

April 20, 2020

Brian Shulstad will head business development at the firm's Triad Advisors unit

Morgan Stanley’s Gorman sees more remote work in future

Morgan Stanley’s Gorman sees more remote work in future

April 20, 2020

Will large firms look to cut real estate costs now that the pandemic has proved the viability of working from home?

10 IBDs that earn the most in fees

10 IBDs that earn the most in fees

April 20, 2020

The independent broker-dealers that took in the most in fees in 2019

SEC wraps up share-class initiative by settling with Merrill, two others

SEC wraps up share-class initiative by settling with Merrill, two others

April 17, 2020

Over two years, the agency's initiative returned more than $139 million to investors

Merrill Lynch revises mutual fund compensation ahead of Reg BI

Merrill Lynch revises mutual fund compensation ahead of Reg BI

April 17, 2020

The brokerage will level the pay its advisers receive for the sale of some share classes, among other changes

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