So-called 'bad boy' provision still under discussion, says Texas regulator; definition of 'accredited investor' also said to be on the table
Financial advisers are upbeat about prospects for stocks in 2011, with many predicting that last year's broad market surge will continue into this year.
Securities America, Massachusetts regulator battle over who's at fault in Reg D fiasco
Montana's commissioner of securities and insurance has sued Securities America over the sale of failed private placements, making it the second state to target the broker-dealer for selling the risky investments.
Nagengast tapped to replace McWhorter; Massachusetts suing firm over sale of private placements
A raft of smaller firms closed as shrinking capital and costly lawsuits took a devastating toll. 'Nothing has ever come close to the carnage that's occurred in our industry." says one longtime adviser.
Company commences coverage of the newly listed B-D with a 'sell' rating
Looking to diversify and raise cash to pay taxes, big-producing and long-tenured advisers affiliated with LPL dumped shares and cashed out during the company's initial public offering this month.
Voter backlash could preserve indie reps' employment status
