Financial advisors who may be thinking of leaving a wirehouse to start their own registered investment advisory using a custodian or working with a broker-dealer would be well-advised to check if both ...

These are exciting times for financial advisors seeking independence in wealth management. Rising capital markets, increased consumer demand, innovative technologies and products and creative practice ...

Litigation against departing brokers has dropped off a cliff since The Protocol for Broker Recruiting was created in 2004 as an agreement between Citigroup for its Smith Barney unit, Merrill Lynch, ...

On August 12, 2025, the U.S. Court of Appeals for the Fourth Circuit issued its decision in Salomon & Ludwin, LLC v. Winters, a significant case at the intersection of financial advisor mobility, the ...