Displaying 2437 results
LPL lands $300M team in Kentucky
The advisors from Ameriprise are joining the broker-dealer's network with their own independent practice in Louisville.
Cetera successfully rolls up its advisor businesses
With a leaner organization, the broker-dealer is funneling cost savings from its streamlining effort into more support for advisors.
Wells Fargo Advisors’ midyear pay tweaks
Broker-dealers are increasingly chasing registered investment advisor assets.
RBC drafts two father-son teams to Western US division
The firm is adding $500M to its enterprise with multigenerational teams from Wells Fargo and Merrill Lynch.
Dimon says AI could be ‘transformational’
JPMorgan Chase's CEO says AI's impact on the economy could equal that of the steam engine.
Florida broker-dealer faces $500k fine over texting violations
Finra finds years of compliance shortfalls at Dawson James Securities involving more than 10,000 text messages, including inadequate system for private placements.
Commonwealth case sends crystal-clear message
KO blow from the SEC offers pointed lesson: Don’t fight Uncle Sam
Not your Dad’s Edward Jones
‘One broker sitting in a strip mall in a rural town is history,’ one executive says.
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.
