Mariner Recruited 'Double Agent' to Poach Clients, Lawsuit Claims
By Melanie WaddellRWA Wealth says Mariner coaches its recruits to break rules; Avantax is also suing over alleged poaching.
January 16, 2024
FSI Resumes Legal Fight Over DOL Independent Contractor RuleTrade groups fired a new salvo in a legal battle that has been halted since 2022.
January 10, 2024
8 Steps for a Smooth SuccessionDone effectively, this process can secure the legacy of the business and position it for sustained success.
January 10, 2024
Hightower Invests in $3B Wealth Manager in New YorkCapital Management Group is the fifth formerly IBD-affiliated firm that Hightower has brought into its network.
January 09, 2024
Business or Practice? The Critical Question RIAs Must AskFirms that operate as businesses have a distinct succession planning advantage. Here's how to get there.
January 09, 2024
Cambridge Launches New Fee-Only RIABridgePort Financial Solutions, led by Eddie Rollins, will acquire stakes in small and midsize firms.
January 09, 2024
DOL Releases Final Independent Contractor RuleThe Financial Services Institute has long worried that the rule could threaten advisors' independent contractor status.
January 08, 2024
Envestnet's Crager to Step Down as CEOThe news is "little surprise to many, including us," said Doug Fritz, head of the tech consulting firm F2 Strategy.