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Broker-Dealers

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Congressional Bill Would Ban Mandatory Arbitration For Advisor, Broker Clients

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Under the legislation, investors would have the right to choose between arbitration and court action.

LPL Adds 256 Net New Advisors, Beats 4Q Estimates

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The firm saw higher advisory and brokerage assets, though higher expenses crimped earnings.

$2B AUM California Firm Joins OneDigital RIA Subsidiary

by FA Staff

WealthSource Partners in San Luis Obispo, Calif., is a hybrid RIA operating across nine states.

Barred Wisconsin Broker Indicted For Alleged Wire Fraud

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Robert C. Starnes moved $72,000 in client funds to personal accounts, federal prosecutors said.

FSI Could Ramp Up Another Suit Against DOL Fiduciary Rule

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The trade group's president said its appeals to the Department of Labor have fallen on deaf ears.

Securities America Appeals $95K Finra Arbitration Penalty

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The company is arguing a Finra arbitration panel incorrectly awarded damages to one of its former brokers.

Experts Debate The Fate Of Small RIAs

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A look at the diversity of different RIA models reveals many are growth-challenged.

FSI Asks SEC To Police “Regulation By Enforcement”

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New white paper asks regulator to create policies and internal audits to eliminate unfair practices.

Kestra Firms On Opposite Coasts Merge

by FA Staff

Evoke Wealth Management and Maven Bridge Capital have formed one company that operates out of New Jersey and California.

LPL Recruits Las Vegas Duo With $320M AUM

by FA Staff

The Latus Group, founded by a former SWAT team police officer, has a retirement plan bent.

Oklahoma Advisor Joins Ameriprise With $130M

by FA Staff

Lance Lively left a 19-year career at Edward Jones to join Ameriprise's independent channel.

Raymond James Beats Estimates On Higher Assets, Flat Advisor Head Count

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The firm reported $3 billion in net revenues for the first fiscal quarter.

Ex-Morgan Stanley Broker Criminally Charged For Alleged $3.5M Fraud

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Jesus Rodriguez of El Paso, Texas, allegedly robbed the accounts of 10 clients.

Sanctuary CEO Envisions Tripling AUM In Five Years

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A year after taking the helm at Sanctuary, industry veteran Adam Malamed sees a "huge opportunity" for growth.

Aon Investments Fined $1.5M Over Incorrect Pension Statements

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The faulty performance statements caused wide-ranging disruptions for the Pennsylvania pension fund, the SEC said.

RIAs Lead The Industry In Headcount, Asset Growth, Cerulli Says

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The firm's 2023 report on U.S. advisors also found headcount at wirehouses and independent B-Ds shrank.

JPMorgan Shuffles Top Managers As Jamie Dimon Prepares Successors

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Insiders have been predicting the firm would need to rotate bosses to give them new challenges.

Cetera Stakes $2.8B AUA OSJ Wilde Wealth

by FA Staff

Wilde Wealth, based in Scottsdale, Ariz., has more than 42 advisors working from nine Southwest U.S. locations.

DOL's Fiduciary Rule Will Cost Advisors $2.7B In First Year, FSI Says

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That's 11 times more than the agency has estimated, the independent broker-dealer industry group said.

J.P. Morgan Sues Ex-Advisor, Accuses Him Of Poaching Clients

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The wirehouse alleges Nader Joseph Al-Mooshi is soliciting a group of its clients that is worth $420 million.

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