FINRA Earnings Surge as Fines Double
The self-regulator collected more than twice the amount of fines in 2014 as it did a year earlier, though the number of fines fell.
Merrill Adds $750M Ex-Barclays Group in Houston
The group was part of Lehman Brothers until 2008.
Krawcheck: Want to Shrink Your Business? Ignore Women
“The retirement crisis is a women's crisis,” Sallie Krawcheck says, as some 80% of men die married, and 80% of women die single.
6 Social Media Strategies for Advisors
Not sure how to get started on social media? Overwhelmed by the options or the perceived time soak? Help is here.
LPL Names New Head of Client Services
The news follows several other executive shifts at the independent broker-dealer.
Baird Nabs $1B Ex-Wells Fargo Group
SIx advisors come on board in Wichita, Kansas, with nearly $5.5 million in yearly fees and commissions.
Raymond James Adds $400M Merrill Team in Cincinnati
The duo has about $2 million in production and joins the employee advisor channel.
Focus Financial Obtains $1B for Growth
The credit facility is available to all Focus firms and will fund programs to support efforts to go independent and plan for succession.
LPL Adds Teams From Morgan Stanley, Lincoln; Merrill Grabs Ex-UBS Duo
The indie broker-dealer should bring in about $600 million in new assets and the wirehouse about $300 million.
4 Signs the Wirehouse Team Ain’t Movin’
There are some easy ways to probe the real intentions of advisors who say they want to go independent.