Aggregator announces two new services that provide more autonomy to indie wannabes; 'brilliant move'
LPL announced its results for the second quarter. The message? Mixed.
Here's a pretty startling statistic: New data shows that advisers who work in teams make 32% more money than those who fly solo. Indeed, the average team member pulls down nearly $300,000 a year.
The Hartford Financial Services Group Inc. is selling Woodbury, which has 1,400 reps and advisers, as part of a wide restructuring.
A New York brokerage and three of its executives have agreed to pay more than $6 million to regulators and exchanges to settle allegations they allowed some foreign traders to manipulate U.S. securities repeatedly through accounts the firm controlled.
This white paper from Financial Advisor Placement Services explores the independent broker-dealer market and why it is a sound choice for advisers considering a move.
Affiliation will aid hybrid firm's projected expansion to $3B in assets by end of 2013
In something of a surprise, a UBS analyst downgraded his outlook for the broker-dealer. Why? Marginal margins and sales of nontraded REITs.
Bridgeworth latest registered investment adviser to sign on; $1B in AUM
Quotes of 22 cents on the dollar to 25 cents were given to half a dozen Peregrine customers who called CRT Capital Group LLC, which buys and sells distressed debt.
Peregrine Financial Group Inc. Chief Executive Officer Russell Wasendorf Sr. said in a signed statement linked to his suicide attempt that he committed fraud for two decades at his Cedar Falls, Iowa-based company, according to a federal complaint.
SEC boss says work continues on proposal; 'I've kept the issue alive and moving forward'
Finra said it is considering an exemption for a controversial fee it charges for existing members that make material changes to their firms
A new report says advisers are getting false hopes from the recent hype about large RIA deals.
Because many complex financial products have the potential for sudden and/or severe losses of principal, it is imperative that firms recommending these products document a thorough “reasonable basis” suitability analysis.
Meg Green, who left Royal Alliance for Sterne Agee, says bosses at former parent company AIG 'didn't understand culture'.
Deciding whether to affiliate directly with a broker-dealer or join an existing OSJ involves evaluating factors in your own business, including finances, culture and contractual relationships
Dillig Group exits Credit Suisse; eighth recruiting win for HighTower this year
Cetera Financial Group completed the acquisition of Genworth Financial Investment Services yesterday.
