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  1. Articles

    Wells Fargo adds $830M Morgan Stanley duo

    Team of William Peragine and John Biondo join as Wells Fargo continues summer recruiting spree.

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    Ex-UBS adviser faces $5 million sexual harassment suit

    Former intern claims she was offered Christian Louboutin shoes in exchange for sex; adviser and firm say she welcomed advances.

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    Morgan sets sights on Schwab's financial consultants

    In battle to recruit affordable talent and assets, Morgan Stanley risks legal fallout to pursue discount broker's advisers.

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    Finra plans to revive controversial broker compensation proposal

    The regulator will consider a revised version of a rule requiring brokers to disclose recruitment incentives at its board meeting next week.

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    Wells Fargo recruits brokers with $1.1 billion in AUM

    Advisers on the Move - Eleven brokers from UBS and Merrill Lynch joined Wells Fargo in California. See more recent moves in our exclusive Advisers on the Move database.

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    ING/Voya boosts female adviser head count past industry average

    The firm has boosted female adviser head count past industry average over the past eight years through successful networking and mentoring programs.

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    Morgan Stanley dodges $15 million raiding claim

    Charles Scwab's $15 million arbitration claim against Morgan Stanley for hiring brokers from its San Francisco office was rejected.

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    BofA settlement comes back to bite homeowners

    On today's Breakfast with Benjamin menu: BofA settlement bites homeowners. Plus: Warren Buffett feels compliance pain; a mortgage shop tries financial advice; fewer stocks participating in the bull market run; and stocks that could benefit from the ALS ice-bucket challenge.

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    Wells Fargo binges on Morgan Stanley recruits

    Since June, the firm has snatched nearly $1.4 billion in assets from rival wirehouse, according to moves tracked by InvestmentNews.

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    NFP scores big with Financial Telesis recruits who forgo signing on with LPL

    NFP Advisor Services chief James Poer says firm is adding 53 advisers and roughly $30 million in revenue, mostly from Financial Telesis.

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    United Capital adds RBC vet, seeks organic growth

    New efforts pave the way for the firm to enter more major cities and double revenue, says founder Joe Duran.

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    $450 million hybrid RIA network launches with LPL

    Financial Advocacy Network, a collective of 13 advisers with $450 million in assets, is hoping to grow to $1 billion in five years

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    LPL's chief market strategist resigns

    The indie B-D behemoth is facing more turnover at the top, this time among its team of investment management professionals.

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    Larry Roth: Defining the next 10 years for independent broker-dealers

    Larry Roth, CEO of Cetera Financial Group, warns against consolidation at the expense of client and adviser relationships.

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    HighTower picks up Merrill advisers with $800 million

    HighTower has added the 44th team to its partnership as it continues to boost recruiting following the announcement it received a $100 million line of credit in July. After last month, the firm said Monday it had picked up three former Merrill Lynch advisers who previously managed some $800 million