Results for "broker-dealers"

Displaying 3,637 results

Sort: Date | Relevance


Sarch: Morgan Stanley 3D, almost a year later

April 18, 2013

I have teenage girls. They are wonderful kids and I am sure that many of you share some of the same challenges and funny experiences that my wife and I deal with every day. Have you noticed that teenage girls have a habit of bragging about things...

Pay up to play: Securities exam fees to increase June 1

April 17, 2013

Fees for securities licensing exams will increase as of June 1, the North American Securities Administrators Association Inc. announced today. Broker and investment adviser candidates who take the Series 63 exam will be charged $115, up from...

Merrill Lynch bright spot in BofA earnings

April 17, 2013

Gains by Bank of America Corp.’s Thundering Herd provided the bank’s lone bright spot in the first quarter, with revenues at Merrill Lynch climbing 7% to $3.68 billion, from $3.44 billion in the year-ago period. The division also reported...

Kitces signs on to help fix 'issues' at Brightscope

April 16, 2013

Michael Kitces has joined Brightscope Inc.'s advisory board. Mr. Kitces, partner and director of research at the Pinnacle Advisory Group Inc., and a well-known industry speaker, blogger and social media guru, is joining Brightscope as the firm...

Superstar adviser DeWaay in 'survival mode,' says forensic accountant

April 16, 2013

It continues to go from bad to worse for former superstar adviser Don DeWaay, who lost his broker-dealer in November because of the costly fallout of investor lawsuits stemming from sales of high-risk private placements. According to a court...

The Takeaway: Hold your horses on preferred stock

April 16, 2013

Portfolio Goldman Sachs: Forget gold, nat gas is the new safe haven. (The Tell) That Reinhardt-Rogoff research that's been used to justify an avalanche of austerity around the world? There may have been a small error... (Next New Deal) Some...

The Takeaway: It's Jack Bogle's world

April 15, 2013

Portfolio ETFs aren't going to solve investors' bad behavior problems. (Bucks) Goldbugs search for secret conspiracies to explain their massively upside-down positions in the so-called Safety Trade. Keep searching. (Business Insider) The Biz...

Finra charges brokerage chief Belesis and firm with fraud

April 15, 2013

Anastasios “Tommy” Belesis, the high-profile owner and chief executive of Wall Street brokerage John Thomas Financial, bullied brokers and lied to senior staff at his firm as part of a plan to profit more than $1 million in penny stock trades,...

Baird expands in the oil patch

April 14, 2013

Robert W. Baird & Co. Inc. is expanding its wealth management operations in Texas, recruiting seven former Wells Fargo financial advisers and hiring veteran UBS manager John Hantak to open an office in Houston. All seven previously worked at...

Focus bolsters recruiting

April 14, 2013

Focus Financial Partners LLC is stepping up the competition for breakaway wirehouse brokers. The largest aggregation of wealth management firms in the industry announced five new executive hires intended to improve its Focus Connections offering,...

Court backs brokerages in forcing employees to hold accounts in-house

April 14, 2013

Brokerage firms can force their employees to keep investment accounts in-house at the brokerage firm, the U.S. Court of Appeals for the Ninth Circuit ruled last week. Broker plaintiffs in four California class-action cases filed against Wells...

Out of the ashes, wirehouses rise

April 14, 2013

Like a phoenix rising, wirehouses are starting to regain the competitive edge they lost during the dark days of the financial crisis. In other words, they're baaack. After years of cost cutting and deliberate downsizing, the buoyant investment...

How advisory firms rate with their reps - Compare and contrast

April 13, 2013

J.D. Power and Associates on April 11 released its annual satisfaction survey of employee advisers. The 2013 version rated the job satisfaction of employee financial advisers based on seven categories (in order of importance): Firm performance;...

The Takeaway: Investment banks are "uninvestable"

April 12, 2013

Portfolio Ritholtz: "Investors being this negative at the same time as markets hitting all time highs suggest to me that they are under-invested in equities and are frustrated they have missed the run up." (The Big Picture) Santoli: Why this...

Raymond James cuts 160 staffers, no advisers

April 12, 2013

Raymond James Financial Inc. has cut 115 jobs from its home office staff in St. Petersburg, Fla., and another 45 nationally in an “unprecedented” round of layoffs in the wake of its acquisition last year of Morgan Keegan & Co. Inc. The two...

Florida on verge of making branch office registration instantaneous

April 12, 2013

Sometime over the summer, broker-dealers and investment advisers will have an easier time setting up branch offices in Florida, thanks to legislation that appears likely to be enacted. A bill that would replace the current registration process...

Indie reps happier at work than wirehouse advisers: J.D. Power

April 11, 2013

Independent advisers continue to be happier at work than their colleagues who are employees of broker dealers. According to a new survey conducted by J.D. Power and Associates, the job satisfaction score of independent advisers increased to...

How indie B-Ds rate with their reps - Running the rule

April 11, 2013

J.D. Powers and Associates on April 11 released its annual Advisor Satisfaction Survey. The 2013 version rated the job satisfaction of independent financial advisers based on eight categories (in order of importance): firm performance; people;...

Baird expands in the oil patch

April 9, 2013

Robert W. Baird & Co. Inc. is expanding its wealth management operations in Texas, recruiting seven former Wells Fargo advisers and hiring veteran UBS manager John Hantak to open a new office in Houston. All seven previously worked at AG Edwards...

The Takeaway: Sell in May not so simple after all

April 9, 2013

Portfolio Sell in May: Not so simple... (can't anything ever be?) (Rick Ferri) Merrill Wealth Management: Here's what to do with your bond portfolio. (The Reformed Broker) The price of the Bitcoin has just doubled again; brace for panicked calls...

« Previous PageNext Page »

1 ... 177 | 178 | 179 | 180 | 181 | 182


Hi! Glad you're here and we hope you like all the great work we do here at InvestmentNews. But what we do is expensive and is funded in part by our sponsors. So won't you show our sponsors a little love by whitelisting It'll help us continue to serve you.

Yes, show me how to whitelist

Ad blocker detected. Please whitelist us or give premium a try.