Independent Broker-Dealers

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  1. Articles

    Cetera president blasts White House memo defending DOL fiduciary

    Arguments continue on both sides about the merits of the recently-leaked White House memo and what it means for the standard's future prospects.

  2. Articles

    What's next in adviser technology?

    Broker-dealer and custodian tech executives discuss the industry's biggest issues and plans

  1. Articles

    Another key executive departs LPL

    Brain drain at nation's largest IBD continues as top East Coast recruiter plans to take a new position at an insurance company-owned broker-dealer.

  2. Articles

    Brokers under White House scrutiny for costing workers billions in retirement savings

    New government research says some broker practices are costing investors $8 billion to $17 billion a year, and the White House may now support tighter oversight of brokers who handle retirement accounts.

  3. Articles

    Independent broker-dealers take aim at the next generation of clients

    It's a new year, but independent broker-dealers are looking far beyond 2015 as they manage both ongoing challenges and emerging opportunities in their industry. InvestmentNews recently hosted a roundtable of IBD industry leaders to discuss the future of their business. With a huge transfer of

  4. Articles

    Cetera factor dampens M&A activity among independent broker-dealers

    The ongoing woes of Cetera's parent company, RCS Capital and inflated sale prices expected to deter deals among independent broker-dealers. (Plus: Don't miss our full 2015 Top IBD special report)

  5. Articles

    10 developments to watch in the independent broker-dealer industry in 2015

    Advisers and their independent broker-dealers saw movement last year in regulation, investment products, business strategies, retirement vehicles and more. Here are 10 of the hottest topics, which are sure to continue to evolve as the year unfolds.LPL strapped with compliance chargesLPL Financial,

  6. Articles

    It's about more than payouts

    Some broker-dealers have resources that help advisers create a bigger pie, not just boost their slice

  7. Articles

    LPL advisers' commissions land in their bank accounts one day late

    As processing error delays commissions by a day, president Robert Moore moves to reassure advisers.

  8. Articles

    Goodbye, Tommy Belesis. We won't miss you.

    The rise and fall of the notorious owner and CEO of the defunct independent broker-dealer John Thomas Financial is now complete, and senior columnist Bruce Kelly says the industry won't miss him.

  9. Articles

    Florida firm linked to 'Wolf of Wall Street' raided by FBI

    Medical device firm accused of Medicare fraud; lawyer denies charges, says complying with federal probe.

  10. Articles

    Nontraded REIT sales at Realty Capital slip in 2014 but big drop avoided

    Sales of REITs and other non-liquid alts at Schorsch-related firm decline 7.6% from 2013.

  11. Articles

    Nicholas Schorsch down, not out after resigning again

    Though the real estate czar stepped down from two more publicly traded companies last week, as well as from a host of other nontraded REITs, he still remains entrenched at other firms he created and is the largest shareholder at several others.

  12. Articles

    Nicholas Schorsch resigns from RCAP, boards of AR Capital affiliates

    REIT czar resigns from RCAP, boards of 11 AR Capital affiliates. New chairman says change allows company to simplify governance, minimize 'perceived' conflicts and cut complexity. (And check out the triumphs and trials of Nick Schorsch.)

  13. Articles

    Lawyers for Tony Thompson want out

    The law firm, which is representing the real estate investor in a number of cases, cites a breakdown in communication and failure to pay legal fees.