LPL Financial agreed to pay almost $3.3 million to settle allegations from multiple state securities regulators claiming the independent broker-dealer improperly sold non-traded REITS and leveraged ETF products to investors...
Voya Financial Advisors rolled out its hybrid platform today, allowing affiliated advisors the opportunity to operate under their own brand as an independent registered investment advisory firm...
The first half of 2015 saw a significant increase in merger and acquisition activity among registered investment advisory firms, a trend Schwab expects to bleed into the second half of the year despite the recent market upheaval.
“The success ...
In the past, REP. has ranked independent broker/dealers by advisor headcount. While that metric can shed light on the size, scale and recruiting prowess of a firm, the business is no longer simply about the numbers. Instead, the editors—with...
TD Ameritrade celebrated the 75th anniversary of the Investment Advisers Act of 1940 by ringing in the opening bell at the New York Stock Exchange on Friday...
The Department of Labor’s proposed fiduciary rule will cost independent broker/dealers nearly $3.9 billion in start-up costs, according to a new study commissioned by the Financial Services Institute.
The industry lobby group released the repo...
