Results for "regional brokerages"

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B-Ds may pay more than $1M to foot bill for new audits

December 14, 2010

The largest U.S. broker-dealers may be asked to pay more than $1 million a year to fund annual inspections required by the Dodd-Frank Act, according to a proposal by the panel that oversees public-company audits. The Public Company Accounting...

Barred-broker-turned-politician sued by Baird

April 29, 2010

Robert W. Baird & Co. has filed a civil lawsuit against Kevin O'Brien, a former broker, for allegedly stealing hundreds of thousands of dollars from a client. The lawsuit may pave the way for citizens of a Cincinnati suburb to oust Mr. O'Brien...

Baird snags another Morgan Stanley Smith Barney team

March 29, 2010

Robert W. Baird & Co. Inc. has made another addition to its wealth management business, this time snatching a $150 million adviser team from Morgan Stanley Smith Barney LLC. Russ Guard, a 15-year veteran of Smith Barney, and Jacob Duffy, who...

RBC Wealth Management nabs duo from Stifel Nicolaus

March 1, 2010

RBC Wealth Management continues to add financial advisers from competing brokerages and has now recruited a two-person team from Stifel Nicolaus, a subsidiary of Stifel Financial Corp. Mike Lamb and Cindy Dellinger, who specialize in fixed income,...

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