The independent movement has felt like a freight train gathering increasing steam and speed over the past decade. All manner of legacy advisors have evaluated their options at a competitor and like-minded platform firms and eventually opted to hang their

Don’t do it. Should we really have to say it? Seems that we do. Don’t ever take a dime, or re-direct a dime, of client money outside the boundaries of rules and regulations. You will get caught. Just ask Steven

We told you to keep a sharp eye on this week and weekend. And we told you to be on the lookout for multiple J.P. Morgan Securities exits. Well, here you go. First Republic just landed a monster team in

It seems exiting the broker protocol isn’t as effective a deterrent for brokers leaving the Swiss bank as its executives had hoped. When cast against irrational compensation grid adjustments and ‘at the high’ competitor recruiting offers – that policy is

Earlier this week AdvisorHub reported that Raymond James was being sued for “reverse churning” in fee-based accounts. The investor-led lawsuit seeks remedy, alleging RayJay “…encourag(ed) buy-and-hold customers to move from commission trading accounts to fee-based advisory accounts without considering the