Results for "broker-dealers"

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BDC dumps distributor over financial issues

August 27, 2013

A nascent nontraded business development company has cut ties with its outside broker-dealer manager, citing a lack of financial stability at the broker-dealer. The VII Peaks-KBR Co-Optivist Income BDC II Inc. said in a filing with the Securities...

Trailblazer who broke Wall St. gender barrier dies at 80

August 26, 2013

Muriel Siebert, whose success as one of Wall Street's early, influential female analysts earned her the contacts and nest egg to become the first woman to buy a seat on the New York Stock Exchange, has died. She was 80. She died on Aug. 24 in...

LPL puts layoff, outsourcing plan into action

August 26, 2013

Details of LPL Financial LLC's plan to outsource workers have emerged as the firm this month told California officials it planned to lay off up to 130 employees in San Diego and move their jobs out of the company. LPL told the state of its plans...

UBS gains adviser with $4.8B

August 25, 2013

John Rasweiler, a prominent Morgan Stanley adviser in New Jersey, has joined UBS Financial Services Inc. Mr. Rasweiler, a 45-year veteran of the industry, joined UBS' Florham Park, N.J., office, according to Financial Industry Regulatory Authority...

LPL CEO on tech, a bank, regulators

August 25, 2013

InvestmentNews caught up with LPL Financial LLC chief executive Mark Casady last week at the firm's annual adviser conference in San Diego to ask him about some of the firm's recent developments, including its technology improvements, efforts...

LPL ratchets up effort to "mobilize' its troops

August 25, 2013

LPL Financial LLC last week announced major upgrades to its technology platform, ranging from mobile access and website branding to portfolio re-balancing and trading. Most notable among the up-grades is a new mobile capability that will give...

DeWaay settles with Finra over sales practices

August 23, 2013

Don DeWaay, founder of the now-defunct DeWaay Financial Network LLC, has settled a sales practice case with the Financial Industry Regulatory Authority Inc. Mr. Dewaay agreed to pay a $7,500 fine and accepted a 10-day suspension over alleged...

The Takeaway: Nasdaq reopens to wild applause

August 22, 2013

Portfolio Nasdaq halts for a few hours inexplicably, reopens and stocks soar. Yeah, I don't get it either.  (CNBC) Deutsche Bank strategist Makoto Yamashita on the prospects of a real U.S. recovery: "LOL"  (BusinessInsider) Mom & Pop investors...

Being upfront about upfront money

August 22, 2013

In an effort to attract top talent in a highly competitive industry, some firms have escalated the recruiting packages to an unprecedented level. These lucrative—and some may say inflated—transition bonuses in the form of upfront money have...

UBS gains adviser with $4.8B from Morgan Stanley

August 21, 2013

John Rasweiler, a prominent Morgan Stanley adviser in New Jersey, has joined UBS Financial Services Inc. Mr. Rasweiler, a 45-year veteran of the industry, joined UBS's Florham Park, N.J., office last Friday, according to Financial Industry Regulatory...

The Takeaway: The trouble with low-volatility funds

August 20, 2013

Portfolio A Field Guide to Stock Market Corrections.  (The Reformed Broker) Larry Swedroe on the trouble with low-volatility ETFs.  (CBS MoneyWatch) The technicals suggest patience.  (ChartsEtc) Using REITs as an inflation hedge, with Prudential's...

Broker audits marred by conflicts of interest, watchdog says

August 20, 2013

The watchdog of U.S. accounting firms found deficiencies in more than 95 percent of brokerage audits it reviewed last year, including where auditors were checking statements prepared by their own firms. The Public Company Accounting Oversight...

LPL launches consulting group for large independent advisers

August 20, 2013

LPL Financial LLC today announced that it is launching a consulting group designed to help large affiliated advisory firms become more strategic and attain higher profitability. The biggest independent broker-dealer in the country, LPL has comprises...

Merrill out to pasture?

August 18, 2013

Merrill Lynch, the 99-year-old firm known for its “thundering herd” of brokers pitching stocks to Main Street, may cease to exist as a legal entity more than four years after being acquired by Bank of America Corp. While Bank of America...

Jones moves to capitalize on fee business

August 18, 2013

Edward Jones' decision to start selling proprietary investment products is a sharp departure from its past practice but makes perfect sense when you look at where the company's revenue increasingly is being generated. After launching a fee-based...

BofA may dissolve Merrill Lynch

August 16, 2013

Merrill Lynch & Co., the 99-year-old firm known for its “thundering herd” of brokers pitching stocks to Main Street, may cease to exist as a legal entity more than four years after being acquired by Bank of America Corp. While Bank of America...

Wirehouses

August 16, 2013

Financial advisers Wirehouse 2Q 2013 % change vs. 1Q2013 %change vs. 2Q 2012 Bank of America Merrill Lynch 15,759 -1.9% -6.0% Morgan Stanley Smith Barney 16,321 0.2% -3.6% Wells Fargo Advisors 15,268 -0.6% 0.7% UBS Wealth Managemen 7,099 0.5%...

RIAs vs. wirehouses: who will gather more share?

August 13, 2013

Independent registered investment advisors and discount brokers are expected to continue picking up market share from traditional brokerage firms this year, according to Aite Group LLC. RIA firms expect to grow their client numbers 12% this...

Edward Jones makes unexpected leap into proprietary products

August 13, 2013

Contrary to its long-stated message to its financial advisers, Edward Jones is getting into the proprietary-investment-product business. The firm, known for its one-man shops and mass of trainees, is launching a line of affiliated mutual funds...

Real estate fixture Thompson defrauded investors: Finra

August 11, 2013

The Financial Industry Regulatory Authority Inc. has alleged that noted real estate investor Tony Thompson deceived and defrauded investors who bought $50 million in high-yield promissory notes sponsored by Thompson National Properties LLC,...

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