CEO Rudy Adolf defends business model during earnings call; shares drop 12%.
Mercer stands out as an aggressive buyer of RIAs, having done more than a dozen deals in two years.
Broker-dealer returns to investors the nearly $900,000 it gained by placing clients in higher-cost funds.
Julia Carlson learned to manage her fast-growing practice by spreading responsibility and accountability across the leadership team.
USAA will continue to operate as an insurance brokerage and banking business<a href="https://www.investmentnews.com/article/20170930/FREE/170939998/armed-forces-personnel-need-the-help-of-financial-advisers" style="color:#b10816" target="_blank">​ </a>serving military families.
The award follows a similar award last month when former Credit Suisse broker Brian Chilton was awarded $844,621 in deferred compensation.
While a COO is often seen as an added expense, having someone in the role can free up the CEO and help the firm grow
Sonya Camarco pleaded guilty to forging checks, depositing clients funds into her personal accounts.
The Investor Advisory Committee will vote Nov. 7 on suggesting the agency clarify, expand broker requirements.
Less than two years after leaving Fidelity to lead the broker-dealer, Mr. Oros is leaving to help tend to a relative
