Results for "clearing firms"

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Emmet A. Larkin Co. quits the clearing arena

July 2, 2009

Another clearing firm bites the dust. Emmet A. Larkin Co. Inc. last month quietly shut down its back-office and clearing operations. Larkin, which is based in San Francisco, had a “last trade date” of June 16, according to a notice published...

Schwab waiving fees for new clients of its RIAs

June 25, 2009

In a move that could create a price war among custodians of registered investment advisers’ assets, Charles Schwab Corp. said today it will waive commissions on electronic equity trades and reimburse account-transfer fees to new clients of...

Pershing urges brokers to embrace RIA model

June 14, 2009

Executives of Pershing, the largest provider of clearing services to broker-dealers, spent much of their energy at the firm's annual Insite conference trying to persuade clients to open their brokerage doors to fee-based registered investment...

Schwab back pedals on alternatives ban

March 12, 2009

The Charles Schwab Corp., under fire from some investment advisers for abruptly ending custody of most alternative assets, said it is modifying the policy but not abandoning it. After talking to advisers since the policy was announced less than...

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