Practice

Citizens has been on a recruiting and acquisition tear in recent years. Tom Metzger, the recently appointed head of the bank's private wealth unit, says it's just the beginning.

As it and other critics pursue a coordinated legal strategy, a trade group for independent insurance agents requested an injunction to put the regulation on hold.

Nearly one out of three advisors at independent broker-dealers has thought about going solo in the past year, a new survey finds.

Raymond James' outgoing CEO Paul Reilly and incoming CEO Paul Shoukry talk on their long-term strategy that led to growth, challenges ahead with PE buyouts and an $800M technology budget.

The general categories represent a starting point for RIAs that may be trying to figure out how they fit into a buyer's long-term plans, a Datos Insights study says.

The banking giant has already settled two other similar disputes with regulators.

The self-regulator has stressed a shift away from mere compliance and toward active self-surveillance to uncover improper off-channel messaging.

Here's what advisors at the $2 million production level can expect to earn at large and regional firms

The merger "will fundamentally transform the RIA ecosystem," tru CEO Craig Stuvland says.

Advisor advocates say they are beginning to look to civil courts and other FINRA alternatives to get erroneous customer complaints removed from their clients' online records.