SEC Charges Cetera Unit With Defrauding Clients Over 12b-1 Fees
By Janet LevauxCetera Advisors received $10 million in undisclosed compensation tied to the fees, the SEC says.
August 29, 2019
LPL Adds $700M Team From MML: Recruiting RoundupMeanwhile, Raymond James' employee channel nabs a Wells Fargo complex manager to lead its Denver operations.
August 27, 2019
2019 BDs of the Year on Amazon's Impact"You can't ignore [[today's] technology advancements ... . You've got to embrace them, ... innovate and stay current," says David Stringer.
August 27, 2019
How Top BDs Use Tech to Drive Advisor Success"We have to believe ... we can win on service and customer experience [too]," says American Portfolios' Lon Dolber.
August 27, 2019
IBD Sees Surge in Advisors Ditching FINRAPlus, industry research finds 71% of RIAs hiring staff and 42% recruiting from rivals.
August 27, 2019
Top BDs of 2019: Lightning Round Q&AIndie broker-dealer execs sound off on the Fed, the markets, ESG investing, Tim Hockey's exit and more.
August 27, 2019
What Would Bezos Do?As Cambridge Investment Research CEO Amy Webber explained: "We need to listen. It's about listening. The answers are out there, or at least the beginnings of them."
August 27, 2019
BDs of 2019: The Runners UpLeaders of six independent broker-dealers share how they work with advisor clients to produce top-quality results.