Updated Tuesday, October 21, 2014 as of 2:32 PM ET

Former AXA Advisor to Plead Guilty to Stealing $1.5M From Clients

Advisory Services: How Do You Stack Up?

Wirehouse Advisors Lead in High-End Services, Study Shows

SEC Files Record Number of Enforcement Actions

Ladenburg Adds 4th IBD to Network

Does Fired LPL Broker Pose Risk to New B-D?

6 Smart Things Heard at Raymond James Women's Symposium

Advisors on the Move: 2 Wirehouse Teams With $400M Each Go Independent

$400M Wirehouse Team Goes Independent With Dynasty

FINRA Advances CARDS Proposal, But With an Ear to Industry

FSI Warns on DoL Fiduciary, FINRA CARDS Rules

SEC Again Targets Ex-LPL Advisor in $2M Fraud Case

Wirehouse Execs Move to Dynasty Financial

Advisors on the Move: Morgan's Multi-Billion-Dollar Grabs From Merrill

Exec Shakeup at RCS Capital

Risk Tool Smackdown: FinaMetrica vs. Riskalyze

Buying or Selling Your Practice? Go With the Right 'Fit'

Advocates Losing Ground in Fiduciary, User Fee Battle

RCS Snaps Up Majority Share of Docupace

Ex-SEC Official Questions Uniform Fiduciary Debate

Fiduciary Advocates Take Aim at Brokerage Practices

Top IBDs for Women: What Works Well

Advisors on the Move: Morgan Stanley Grabs Billion-Dollar Mega Team

FINRA Names New Disciplinary Chief

Vanguard's Bogle: We Need Less Trading, Higher Fiduciary Bar

B-D Audits: Changes Needed to Meet New Standards

Wells Fargo Lands Advisors With More Than $1.1B AUM

Ameriprise Scoops Up Advisors With $600M AUM

HighTower Grabs Merrill Team Managing $440M

Reality Check: You're Not So Client Centric

New LPL Firm Aims to Lure Smaller Breakaways

Raymond James Lands Morgan Stanley Advisor Duo

Failed Experiment at the SEC

6 Trends Squeezing Financial Advisors

B-Ds Need Higher Capital Requirements, Says Fed Official

Advisors on the Move: Big Merrill Lynch, Morgan Stanley Teams Go Independent

Cetera Shift: Focus Now on Organic Growth

HighTower Nabs $800M Merrill Team

LPL Chief Exec Transfers Stock Worth $14 Million

How to Fix the Industry's Race Problem

Ex-LPL Exec's New Firm Has Ties to SEC-Barred Advisor

'We Are Not Happy': LPL Profit Falls 4.4%

Trailblazing Breakaways Challenge Wirehouse Model

Washington Wealth Snags Breakaways With $200M AUM

HighTower Adds $400M RIA Team

Raymond James Financial's Profits Balloon 46%

No End to Breakaway Frenzy?

Securities America Deal Adds $2.4B in Assets, 268 Advisors

Advisor Duo With $200M in AUM Joins Raymond James' Independent Channel

4 Elite IBDs You May Not Know

Big Breakaway Team Aims to Take $592M to LPL

Do Independent Advisors Oppose Expected DoL Fiduciary Rule?

Securities America Reels In New Super OSJ

Baird Tops $125B AUM, 800 Advisors With Latest Deal

Could Feds Kill DoL Fiduciary Regulation?

39 Great Ways to Improve Your Practice

Employees vs. Independents

Happiest Advisors Have Clarity

Lebenthal Shutters Muni Underwriting to Focus on Wealth Management

Advisors on the Move: Wells Fargo Picks Up $1.5 Billion Mega Team

Fee-Based: 5 Reasons to Make the Switch

D.A. Davidson Helps College Grads Join Advisory Profession

FP50: Big Changes at the Top

FINRA Looks to Ease Burden on Small Firms

Cetera Senior Exec Bolts for Advisor Group

How to Fix Your Incentive Pay

RJFS Forecast: Best Recruiting Year Since '09

FINRA Chief Welcomes Alternate Plan for Advisor Oversight

CEO: What Raymond James Wants This Year

Fiduciary Standard Debate Prompts Dispute at SEC

Advisor Reality Check: How Business Savvy Are You?

Should Firms Settle Regulatory Cases? Study Says No

Schorsch Taps New President for First Allied

Why Soldiers Need Financial Help

RJFS Compliance Chief Resigns

New Cetera Owner Sounds Bullish on M&A

RCS Closes $1.15 Billion Cetera Deal

Ameriprise Jumps Most Since 2012 on Profit Gain, Share Buyback

Costs Squeeze LPL Profits as Recruiting Slowed

LPL Profit Drops 3% Amid Recruiting Pinch

Raymond James Private Client Group Reports Record Revenues

How Independent Advisors Can Beat Wall Street

Advisors on the Move: Barclays Loses Advisors to Janney and Deutsche Bank

Arbor Point Gains $100 Million Advisor Group

Cerulli IDs $74 Billion Exit From Wirehouses

LPL Exec Replaces Departed Bruton

10 Big Risks Facing New Cetera Parent

Washington Wealth Nets Breakaways With $150M

Advisor Group Taps Exec to Lead Recruiting Push

Transamerica Reimburses 2,300+ Accounts in SEC Deal on Overcharging

Wells Fargo Picks Up Advisor With $424M AUM

IBD's Product Sales Jump 23%, but Fee Shift Pinches Revenues

Advisors Beware: Single Data Breach 'Can Bring Down' a Practice

Big IBD's Female Advisors Get Firmwide Mentoring Program

FINRA Fines 2 Big IBDs Over Reporting Failures

Advisors Falling Short on ID Theft?

SEC Won't Rewrite Advisor Compliance Rules for Social Media

Washington Wealth Hopes to Lure More Advisors With NFP Deal

'Bright Future' as Independent Channel Gains Marketshare

RCAP Launches Research Division

SEC to Accelerate Uniform Fiduciary Push

Brrr...LPL Cites Bad Weather for Recruiting Slowdown

SEC Oversight Advocates Push Fight to Next Level

Dual Registrants, Alternatives Top SEC's Concerns

New CEO for Woodbury Financial

Ousted LPL Exec Advising Planning Startup

CFP Board Taps Ex-Regulatory Official for Disciplinary Panel

Schorsch Pledges 'No Pressure' to Sell Nontraded REITs

Affluent Investors Eye Commercial Real Estate

Schorsch's Expanding Empire Targets Mass Affluent

Exclusive: Nicholas Schorsch's Shopping List

B-D Fined $175,000 Over Supervisory, Suitability Failings

Half-billion Team Leaves AXA for Cambridge

Raymond James Group Closes In on LPL Asset Levels

Exec Shuffle Deepens Bench at Cambridge

After FINRA Win, Breakaway Advisor Wants Others to Follow

$100 Million Stock Buyback Deal Part of LPL Capital Strategy

LPL's Victor Fetter: Technology as Advisor Advantage

Productivity, Recruiting Push LPL Revenue to Record

FSC Snags $300M Morgan Stanley Team

Breakaway Brokers Have a New Suitor

Want Details on Recruiting Deals? There's an App for That

Commonwealth and LPL Swap Firms

Regulators to Zero in on Elderly Client Protections

B-D Consolidations Won't Be Easy, Tibergien Says

Pershing Chief: Advising 'Isn't a Boomer Business for Long'

FSI to Target State Issues in 2014

Dynasty Bolsters Business Development Team

Dually Registered Channel Assets Growing Fastest, Study Finds

Why Lightyear Founder OK'd Cetera Sale

Exclusive: RCAP's Schorsch "Taking a Run at Everybody," Says Cambridge's Schwartz

Northwestern Mutual to Recruit 6,400

Deal for Cetera Takes Advisors By Surprise

New Mega Firm: RCAP Announces $1.15B Acquisition of Cetera

Advisor Group CEO: Looking for Acquisitions

Half-Billion-Dollar Practice Moves to Raymond James

Frustrated With Wirehouses, Firm Joins LPL

Raymond James Lands Advisory Team from LPL

HD Vest Portfolio Tool Surpasses $700M AUM in First Year

LPL Promotes Bill Chetney to President of Retirement Partners

Dynasty Rolling Out More Firepower to Boost Business in 2014

$3.7 Billion LPL Practice Picks Up Chicago Firm

FINRA Orders J.P. Turner to Pay More Than $700,000 to Clients

Riding the Advisor Retirement Wave

Fiduciary Update: Where the Rules Stand Now

LPL Sees Recruiting Boost, New Assets Top $4B in Q3

House Vote Set on Delay of Fiduciary Proposal

The October Issue is now online!


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