Recent 'Last Week Tonight' segment is just one example of the growing awareness of this issue.
Plus: Soros fights Brexit with scare tactics, what the Queen thinks about the Brexit vote, the smart-beta evolution, and alternative retirement lifestyles
Sweep reminds broker-dealers they're going to be held accountable for hiring brokers who prove not fit to work in the industry.
Pershing COO says B-Ds are caught in a vise and need help with easing internal expenses.
The DOL fiduciary rule will forever change financial advice, and the industry now faces the challenge of adapting to the new regulation.
The mergers we may see as a by-product of the DOL rule are likely to be trickier — and more permanent — affiliations, and advisers will need to do their homework.
Advisers choosing models with the most support forgo up to 25% of profits.
If the industry was really serious about getting rid of rogue brokers, it would do more both individually and through Finra.
In the wake of Raymond James' $17M fine, it's time advisers take regulators' focus on this issue seriously, as rules are only going to get stricter.
The Jenkintown, Pa., based unit collected about $7 million in annual fees and commissions under its former employer
Many advisers dissatisfied with their current broker-dealer and anxious about how well they are positioned in a post-DOL landscape are still hesitant to make a move.
Claims institutional investors are committed to the independent broker-dealer business.
State claims former broker overloaded his clients with energy stocks.
The four large brokerages have emerged among the least affected by the heaviest regulation to hit the financial advice market in decades. <i><b>(More: <a href="//www.investmentnews.com/section/fiduciary-focus"" target=""_blank"" rel="noopener">The DOL fiduciary rule covered from every angle</a>)</b></i>
In the new DOL fiduciary landscape, B-Ds can no longer be dependent on commissions.
Agency concerned about brokers who sell out client positions at old firm to generate commissions at new firm. <b><i>(More: <a href="http://www.investmentnews.com/section/fiduciary-focus" target="_blank">The fiduciary rule covered from every angle</a>)</b></i>
Empire Asset Management Group joins up even as the firm's parent company faces bankruptcy. Cetera CEO Larry Roth: "Choosing Cetera reflects the strength of our value proposition."
Nation's largest independent broker-dealer faces an ugly lawsuit, high turnover and stalled growth. And that's just for starters. </br><b><i>(Related read: <a href="http://www.investmentnews.com/article/20160403/FREE/304039998/the-lpl-stock-buyback-that-launched-a-lawsuit" target="_blank">The stock buyback that launched a lawsuit</a>)</b></i>
Incentives for eligible advisers are from 2% to 11% of their total annual revenue.
Chairman and CEO Mark Casady downplays the timing and execution of 4.3 million share buyback
