Christopher Armstrong seeks to reverse a FINRA arbitration win for Morgan Stanley. The wirehouse filed that arbitration to recoup his part of a previous award owed to Charles Schwab.

The adoption of model portfolios hasn’t become as widespread as the industry expected when they came on the market.

A team of four serving athletes and entertainers has joined UBS in Albany, NY.

Ryan Poterack shuttered his own RIA to join Private Advisor Group, as part of the firm’s growing cohort of fee-only advisors.

The “Investor Choice Act” would prohibit b/ds and advisors from mandating client arbitration. Additionally, PIABA and other investor advocates are pressuring the SEC to ban the practice.

The next three months will prove critical in figuring out which of the new funds will be made available to the company’s clients, says LPL's Rob Pettman.

“We got tired of being shuffled around like cattle from private equity. We had no idea which direction Osaic is going,” said Jason Hohenstein, co-founder of the Equity Design Group.

Ed Stober will work to develop relationships within the nascent family office/CPA structure.