Three of the nation’s largest brokerage firms have agreed to make it easier for registered reps to take clients with them when they change firms—eliminating a lot of the cloak-and-dagger antics that brokers undergo when they decide to move to...

A little more than a year after the historic $1.4 billion settlement, the securities industry has quietly begun the process of winning back what it gave away in those scandals.

It didn’t take long for Charles Schwab to start making wholesale changes after taking back control of his firm last week.

Charles Schwab’s decision to replace David Pottruck as its CEO is, at its heart, an ironic statement on the firm’s commitment to his business philosophy.

Smith Barney has been hit with a few high-profile defections in the last month or so, as several large producers have taken their lucrative businesses to other firms.

Ryan Beck, a regional firm concentrated in the Northeast, is stepping up efforts to improve its name recognition and is also getting more aggressive in recruiting.

Merrill Shuffles Branch Managers. Promotions and retirements result in a lot of shifting.

In recent years, Prudential Securities has fended off numerous challenges to the legality of its deferred compensation plan, known as MasterShare, but it might have more than the usual amount of trouble shaking Yaakov Holansky’s case.

The SIA Soft Dollars and Institutional Brokerage Conference took aim at a wide range of issues related to soft-dollar payments in the brokerage industry, but most of the conference’s attendees were there to find out one thing: Can the...

The ability to sell mutual funds effectively was on the minds of advisors at the 16th annual investment conference.