Consolidation among independent broker-dealers is inevitable, according to Cetera Financial Group chief executive Valerie Brown, and the inability or unwillingness of firms to stay open is benefiting her firm.
Luparello headed to law firm; sixteen years at the SRO
Tumult on the variable annuity scene is dampening sales at broker-dealers, raising some concerns about the impact on revenue.
Commission now seeks public comment on plan that would allow hedge funds to make solicitations for Reg D offerings
Stop us if you've heard this one before: Another B-D that sold Provident private placements has ceased operations.
Several industry groups have laced into Finra over the regulator's plan to hike its charges
Even as demand for financial advice is increasing significantly, the nation's pool of advisers continues to shrink.
Leonard & Co. plans to delist from Finra; CEO starting new brokerage
John Simmers is jumping back into the IBD business and leading a group that plans to acquire Calton & Associates.
Sources say AIG's Advisor Group is one of four potential buyers for Woodbury, The Hartford indie B-D with roughly 1,600 reps
Regulator reveals three candidates for small-firm seat, as well as other nominees; some hot topics
Woodbury Financial is said to be readying retention bonuses to preserve firm's value despite not having a buyer lined up
John Sykes' first broker-dealer holding company, GunnAllen Holdings, is out of business and his second, JHS Capital, has sustained significant losses and faces a handful of Finra arbitration claims. Bruce Kelly reports.
Ranked by number of B-D clients
