Bruce Kelly covers the securities industry, with a focus on independent broker-dealers; please contact him if you have news, information or industry scuttlebutt to discuss.
- UBS Puerto Rico faces 'Whopper' of a problem over muni bond funds
- J.P. Turner must pay more than $700,000 in restitution to clients
- LPL CEO Mark Casady's Twitter photo proves he's ducking the razor
- Is an acquisition of National Holdings Corp. imminent?
- The ghost of private placements past
- As nontraded REIT sales sizzle, have firms learned from past mistakes?
- National Planning slammed with $6.2M arbitration award
- UBS offers to repurchase Puerto Rico muni bond funds, plaintiff's attorneys say
- NFL-approved broker barred by Finra
- Schorsch snaps up Summit for $49M
- Mountain of money in nontraded REITs continues to hold Wall Street's attention
- Nontraded-REIT managers have little skin in the game
- Finra unveils new BrokerCheck
- LPL upgraded, but what's changed?
- John Sykes' JHS Capital Advisors challenged by annual losses, handful of Finra arbitration claims
- LPL Financial is hiking the cost of E&O insurance per rep by $200 in 2014
- Judge dismisses SEC complaint involving UBS Puerto Rico bonds
- For LPL, recruiting numbers add up
- Real estate investor Tony Thompson fights back as proxy battle looms
- Seinfeld star's adviser Bambi Holzer sued by Finra over Provident deals
Explore your opportunities and be informed for your next move.
Dorothy Weaver Founder & CEO, Collins Capital
Liz Ann SondersChief Investment Strategist, Charles Schwab Corp.