Latest to leave embattled firm since the federal government's bailout of American International Group Inc., the broker-dealer network's parent company
The number of net new reps and advisers at the B-D declined considerably during the first quarter. Still, the company's CFO says the swing to independent advice is a 'longer-term trend'
Two broker-dealers are coming out swinging against investors and securities regulators who are looking for redress over the sale of private placements that went belly up last year.
The broker-dealer has fired back at a state regulator with some stinging accusations of ignorance.
Thomas James readily admits that his impending departure from Raymond James Financial Inc., whose roots go back to a firm founded by his father in 1962, is bittersweet.
Investors claim Curtis Lyman sold them promissory notes in a feeder fund for $1.4B scam
In a security snafu, an unencrypted storage device was apparently stolen from a rep's car.
Firm sued by four reps for ethnic slurs allegedly made by a sales manager
Kevin Houser played with the New Orleans Saints from 2000 to 2008. Now, his former teammate Jeremy Shockey — and others — claim the Securities America-affiliated rep ripped them off in an alleged tax scam.
