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The latest roundup of news in the IBD and RIA channels comes in a time of economic turmoil and big transactions.August 14
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The firm will also pay a penalty and offer to buy back variable annuities the former broker sold to 21 other investors.August 11
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With higher compensation offers and a track record of independence, the No. 1 IBD is “challenging the status quo,” its head recruiter says.August 7
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The No. 1 IBD revealed new details of its W-2 affiliation after it followed rivals into the employee channel with an acquisition it made last year.August 5
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The rep defrauded clients with promises of a “lucrative investment” tied to the popstar that would also “help needy people,” according to regulators.July 8
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LPL has reeled in about half of the reps changing their BDs so far this year, but the full RIA channel is also reaping big gains. Plus, other news in the indie space.June 24
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Independent advisors may enjoy freedom of choice when it comes to all things digital, but giant institutions have a leg up with integration.June 12
Technology EditorFinancial Planning
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More than 300 reps have switched BDs so far this year, with LPL and Cambridge Investment Research completing the two largest grabs.May 27
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LPL advisor Kashif Ahmed tweeted his condition from the emergency room then focused on recovering, knowing his firm could run without him.May 27
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A former craft brewer and an ex-rugby star went indie with Gladstone Financial Resources Group.May 26
