New Hampshire Bureau of Securities Regulation says B-Ds do not 'fully understand' how to comply with telemarketing rules.
Girard Secuirities is being audited by the SEC, which is focusing on the firm's supervision of branch offices. CEO suggests move is part of larger investigation.
Firm finds virtual assessments in which candidates perform key duties are better at determining retention.
Resource Horizons Group may not be able to meet net capital requirements; Kovack Securities opens its doors to advisers.
Jo Ellen Fisher, an independent contractor with Raymond James Financial Services, allegedly stole $925,000 from a 95-year-old client to fund personal expenses, Finra says.
New acquisition by nontraded REIT czar costing him — $3.74 million in Texas state court settlement over sale of DBSI notes.
Froude, who oversees about 9,700 advisers, has been in the role since 2008. He will turn his focus to "field initiative and projects" at the company.
Commissioner says administration ignores industry's stiff oversight by market regulators.
Millennials, robo-advice and female clients top the IBD agenda.
IBD inks deal with Southwest financial services company Zions Bancorporation, adding 50 reps and advisers.
Once restructuring is completed, the company expects $3 million in annual savings after taking $9 million charge to move Fortigent unit to corporate headquarters in Charlotte, N.C.
Fallout from ARCP hurt wholesaling unit but executives remain confident in recovery.
Broker-dealer North Capital Private Securities adds crowdfunding site OneVest to its platform that syndicates private offerings for investors.
Time for advisers to tell industry groups pushing hard against a fiduciary rule that they're tired of the rhetoric — and that they're not acting in advisers' best interests.
Top executives at the firm are among those facing smaller bonuses after a year of discouraging financial results.
Formerly known as First Midwest Securities, the IBD has 33 advisers and $600 million under management.
As new annuities gain in popularity, broker-dealers are getting reps up to speed on using them as part of a comprehensive retirement income plan.
Agreement could be announced within days
One of the primary architects of the brand's broker-dealer mergers, Seth Miller, to lead firm.
Jacob Frydman is focus of complaint that alleges plaintiff was fired for reporting 'certain improprieties' to Finra.
