Independent Broker-Dealers

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  1. Articles

    Two big developments in retirement planning grab advisers' attention

    Social Security and annuities make major headlines, LPL's regulatory headaches continue, and the rest of this week's must-read stories for advisers.

  2. Articles

    Spike in Finra, SEC regulation leaves star brokers exposed

    Long treated with kid gloves, big producers now face questions about alleged violations.

  1. Articles

    Analysts question whether LPL is out of the regulatory woods

    Analysts are unnerved by LPL Financial's inability to close the cash register on regulatory charges after CEO Mark Casady said compliance failures could cost $23 million in the third quarter.

  2. Articles

    Wunderlich and fired LPL broker part ways

    Former star LPL broker and Houston branch manager James "Jeb" Bashaw is no longer joining Wunderlich Securities, and is also fighting back against LPL's allegations.

  3. Articles

    LPL cuts profit forecast to cover higher-than-expected regulatory costs

    LPL Financial cuts 11 cents a share from its third-quarter earnings forecast after projecting it will need another $18 million to satisfy regulatory concerns.

  4. Articles

    The regulatory hits keep coming for LPL Financial

    The rest of this week's must-read stories include Betterment's robo-adviser for humans, big changes afoot in Social Security, and a focus on picking the right alternatives for clients

  5. Articles

    Reps selling nontraded REITs could be swimming in liquidity

    Up to $13.6 billion in fresh equity expected to flow from listings, mergers and special distributions.

  6. Articles

    Finra sues B-D owner for improper marketing of unregistered securities

    Bruce Meyers allegedly inappropriately pushed an offering for a pharmaceutical company he co-owns.

  7. Articles

    LPL Financial agrees to pay $541,000 for faulty variable annuities switches in Massachusetts

    Massachusetts Commonwealth Secretary William Galvin announces payment to reimburse senior citizens for surrender charges paid when switching variable annuities.

  8. Articles

    Selling away claims behind LPL's termination of James "Jeb" Bashaw

    Selling away is just one of the allegations that felled James “Jeb” Bashaw, LPL's former Houston branch manager.

  9. Articles

    Regional broker-dealers need creativity to keep up in the recruiting arms race

    With deep pockets aggressively recruiting assets tied to teams, advisers need to remember why they are paid bonuses in the first place.

  10. Articles

    Two high-profile adviser terminations take center stage

    This week's must-read stories for advisers include employment drama at LPL and Merrill, Bill Gross speaking out, and a renewed push for more women in advice.

  11. Articles

    LPL cuts Houston branch manager Jeb Bashaw

    LPL Financial last month axed one of its largest branch managers, James “Jeb” Bashaw, for allegedly “failing to follow firm policies and industry regulations,” according to his BrokerCheck report.Mr. Bashaw is a star broker in Houston; in 2011, Barron's magazine ranked him the top financial adviser

  12. Articles

    Commonwealth building technology with an eye on the robo-adviser

    CEO Wayne Bloom says the firm is considering how a robo offering could help its advisers better connect with clients.

  13. Articles

    Commonwealth adds first nontraded daily NAV REIT to its platform

    More in line with the business of advisers who charge fees rather than brokers who receive a commission.