Displaying 2449 results
MassMutual B-D gooses advisors with new bonus
MML Investors Services reps can earn an "advisor growth bonus" this year that rewards net new assets.
Raymond James broadens California footprint with ex-Stifel advisor
The brokerage firm’s employee advisor arm deepens its bench with a three-decade veteran of the industry.
LPL welcomes $435M duo from Truist
The IBD is bolstering its presence in North Carolina with the launch of a new independent high-net-worth practice.
Just say no to Goldman’s executive comp plan, investors urged
Proxy voting firm cites ‘significant disconnect between pay and performance’ following CEO Solomon’s $31 million payday.
Cambridge Investment Research chases RIA assets
The firm is paying up to recruits if they move client assets to its in-house money management system.
Elderly client suing JPMorgan over investment losses faces court setback
The client and his wife sued over investments that they allege should not have been allowed and that ended up wiping out much of a fortune once pegged at more than $50 million.
SEC hammers Commonwealth with $93M in penalties over revenue sharing
The penalty represents about one or two years of net income for the firm.
LPL onboards $210M advisor from Ameriprise
The IBD is expanding its presence in Florida with a planning and wealth management practice focused on LGBTQ+ clients.
Raymond James scores big with $1.1B Arizona practice
The team, including a father-son duo, is joining the broker-dealer’s employee advisor arm from RBC.
Stratos swipes $500M team from RBC
The RIA adds a multigenerational advisor practice to its network in its first foray into northern Nevada.
Raymond James signs $243M advisor from Wells Fargo
The industry veteran with two decades of experience will reinforce the brokerage firm's presence in Tennessee.
LPL welcomes $250M team from Wells Fargo
The Brick, New Jersey-based team includes a veteran advisor and two siblings.
B. Riley gets extension to file audited financials
The firm has been given until April 29 under its existing credit agreement with Nomura Holdings, it said in a filing.
Avantax adds $250M married duo from Edward Jones
The Lockhart, Texas-based advisor couple join the tax-focused wealth planning network with years of experience at a family-owned practice.
Repeat flubs at Stifel over complex products: Finra
Stifel broker-dealers agree to fines and restitution of almost $3 million as a result of shortcomings in supervision and compliance related to sales of non-traditional exchange-traded products.
Raymond James extends Florida reach with $750M advisor
The IBD adds veteran woman advisor with 23 years of industry experience from Charles Schwab.
Avantax president accounts for a brand-new era
While the firm is best known for its tax expertise, Todd Mackay is talking about relationships and creating connections.
Wells Fargo Advisors continues management overhaul
Reshuffle is 'a result of the brain drain,' says one senior industry executive.
Raymond James scoops up $265M advisor in Pennsylvania
The latest recruit to join the firm’s independent advisor channel comes with a three-decade record, including 10 years at Merrill Lynch.
Finra orders Morgan Stanley to pay ex-brokers roughly $3M
An arbitration panel rules in favor of former advisors who claimed the firm had delayed compensating them for their work, violating ERISA rules.
