Updated Friday, October 31, 2014 as of 6:10 PM ET


LPL spent $32 million on fines and restitution for the nine months ending Sept. 30 -- about twice the amount the firm spent on such expenses in the prior two years combined.  More »
Wall Street veteran Sallie Krawcheck is putting her name behind a new index fund that before its re-launch suffered dismal long-term performance. Will advisors be interested?  read more »
If the integration process takes longer or is more costly than expected, RCS says it may 'fail to realize' some or all of the anticipated benefits of the pending acquisitions.  read more »
"We believe the things people do over 30 years speaks volumes, and mean more than rumor and innuendo," says Ed Cofrancesco, president of International Assets Advisory, the broker-dealer that hired Jeb Bashaw.  read more »
Mark Allen
"We have to continue to grow and we'll be looking at acquisitions, mergers, tuck-ins and roll-ups, all of the above," says Mark Allen, president of Nebraska-based Allen Capital Group.  read more »
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