Dan Shaw

Mike Durbin on Cetera's M&A plans, why consolidation will barrel forward in the wealth management industry and the advantages of having a hybrid firm.

Scott Burnett and Peter Kelson, formerly of Zions Direct, plan to work mainly with public entities, corporations, foundations and endowments.

Advisor moves and big mergers and acquisition deals again showed no signs of slowing down for the holidays.

The deadline is fast approaching for brokerages to register home offices for employees performing supervisory functions.

The rival firms will pay for a forensic consultant to preserve evidence of transferred confidential data while they await FINRA arbitration.

The case stems from Raymond James' recruitment of the $2.8 billion Wise Advisor Group from Baird, which also landed a penalty for a broker protocol violation.

The standard-setting group is mulling increasing continuing education requirements and requiring that CFP aspirants have certain types of financial planning-related experiences, among other changes.

While at Schwab, Roberto Ortega worked with clients whose accounts held more than $1.5 billion. A lawsuit seeks to bar him from soliciting their business for his new employer.

Regulators accused UBS of not doing enough to monitor 22 brokers who generated commissions and sales concessions of syndicate preferred stocks.

Jacob Ammentorp Lund/Jacob Lund - stock.adobe.com Even with the holidays fast approaching, wealth management firms were still busy recruiting advisory teams and promoting from within their ranks.