LPL Investment Holdings Inc. couldn't have picked a worse time to announce its initial public offering. The nation's largest independent broker-dealer had been talking about selling its stock to the ...

A new working group of state and federal regulators, along with brokerage firms, will look at unreasonable account transfer fees and other “service” charges broker-dealers levy on customers. The ...

As mega RIAs get bigger, some advisors are saying that the independent channel is beginning to look a lot like Wall Street.

These are heady times for the independent-broker-dealer industry, which came roaring back to life in 2013 and is poised for another strong year, despite the broad market's recent volatility. Overall, ...

As crypto collides with traditional finance, the trading firm is moving to secure a bigger role in capital formation in the United States.

Investors Security Company Inc., a broker-dealer in Suffolk, Va., has agreed to become an affiliate of Securities America, the nation's eighth-largest broker-dealer. Legacy Financial Planning, an ...