Recruiting

An arbitration panel's recent decision to deny Wells Fargo Advisors LLC's $30 million raiding claim against crosstown rival Stifel Nicolaus & Co. Inc. is just the tip of the iceberg in a six-year battle over advisers.

The lull in brokerage recruitment that marked the start of the year is now officially a doldrum, as reps at larger firms are staying in their seats. Advisers on the Move: Who's jumped this year

Recruiting slows for LPL, Raymond James in otherwise solid quarter as reps and advisers stay put to keep focus on clients amid stock market rally.

But break in lull expected after tax season winds up; 'fingers on the trigger'

At one point or another most advisers wonder if the grass is greener—or the gross is greater—at other firms.

Editor's note: This case study is based on an actual client, whose last name has been withheld in the interest of privacy.

Buoyant capital markets and improving conditions in the brokerage industry have created a tough recruiting environment for independent broker-dealers. And given the generally positive outlook for the industry in 2013, it could remain difficult for firms hoping to grow by attracting new advisers.

Have you ever felt stuck, like you've lost the energy and zest to continue pushing yourself toward your potential? Our industry is full of stories of advisers who have settled for less than they were hoping to achieve—sometimes much less.

Wins boost Kansas-based Mariner's AUM to $6.3B: Washington snags West Coasters

A Finra proposal to require brokers to tell customers about bonuses and other compensation incentives they receive to join another firm drew sharp reactions after it was announced last week.

The Financial Industry Regulatory Authority Inc. is considering a rule whereby financial advisers and their firms would have to disclose to clients the transition packages advisers received when changing firms.