FINRA Panel Orders Stifel to Pay $7M to Breakaway Advisors
By Dinah Wisenberg BrinThe award came the same week that the regulator ordered it to pay $132 million in another case.
March 17, 2025
This Structure Maximizes Advisor Teams' Productivity: KitcesA more ideal team structure is far more beneficial than boosting technology, new research finds.
March 17, 2025
10 Biggest Wealth Management Deals in 2024The number of transactions involving more than $100 billion in assets hit an all-time high, Echelon Partners reported.
March 14, 2025
Edward Jones Seeks to Shed ‘Cookie Cutter’ ImageNew comprehensive offerings are luring more experienced advisors, Managing Partner Penney Pennington tells ThinkAdvisor.
March 12, 2025
Your Firm Was Taken Over! Now What?While change is inevitable, advisors need to be patient. Here are eight steps to consider.
March 12, 2025
How to Avoid Lawsuits When Switching FirmsThe rules are simple, but it's vital to follow them exactly, lawyers Brian Carlis and Scott Unger say.
March 10, 2025
These Two 'Dealbreakers' Mean It's Time to Find a New Firm: ConsultantMuriel Consulting founder Shelby Nicholl discusses when advisors should switch firms and how to choose a new one.
March 05, 2025
Why Does LPL Want $4 Billion?There are three likely possibilities, says Tiburon Strategic Advisors' Chip Roame.