The 2015 Broker-Dealers of the Year Are Ready to Rumble
The Broker-Dealers of the Year, as chosen by their own reps, will take on the DOL and anyone else who threatens the IBD model.
Recruiting Roundup: UBS Nabs 4 Ex-Merrill Reps in Florida
Meanwhile, Raymond James adds a husband-and-wife team in Dallas to its employee channel.
Wells Fargo Indie Group Adds 2 Ex-Morgan Stanley Advisors
The team, which has about $190 million in assets, was with LPL Financial before working for the wirehouse.
Recruiting Roundup: UBS Picks Up Morgan Stanley Reps
Meanwhile, LPL, Ameriprise and Wells Fargo reveal their latest recruiting coups.
When Managing Trading Data, Ditch the Spreadsheet
As technology has made trading more advanced, it’s also put more pressure on firms to manage and store all that data.
FINRA Sweeping BDs on Comp Practices
Recruiter Jon Henschen says FINRA treats BDs like "moonshiners," made to pay "extortion money" in the form of fines for breaking ever-more convoluted rules.
DOL Fiduciary Rule Will Cost Firms $3.9 Billion: FSI Study
Projected startup costs range from $1.1 million to $16.3 million per firm, according to a study by FSI and Oxford Economics.
LPL Grabs Wells Fargo Advisors’ Tech Chief
Anthony Perkins is tapped to be the IBD's head of technology product development.
Top Portfolio Products: New Socially Responsible Funds From TIAA-CREF
New products and changes introduced over the last week also include plans for global environmental, social and governance scores from Morningstar.
As RCAP Shares Crash, Cetera Recruiting and Retention Could Suffer
The firm's stock has plummeted 80% this year; the reorganization news isn't helping.