The financial industry watchdog says this may be just be the begining in a crackdown on private placements

Local regulators gain a little, lose a little, in their battle with the SEC over who regulates private placements

Edward Jones lost two million-dollar producers in the span of a month. That's a surprise -- given the firm's reputation for holding on to top talent.

Upstart independent broker-dealer DeWaay Financial Network LLC has landed another top independent registered rep.

Good news for the unit, which saw one-quarter of its sales force flee the firm in 2009.

In a huge blow to SagePoint Financial Inc., one of three broker-dealers that make up the AIG Advisor Group Inc., its largest branch is walking out the door following a bitter dispute over the latter's role and future at SagePoint.

In a huge blow to SagePoint Financial Inc., one of three broker-dealers that make up the AIG Advisor Group Inc., its largest group of reps and advisers is walking out the door following a bitter dispute over group's role and future at SagePoint.

Alan Skrainka, a familiar face on CNBC, had worked at the firm for nearly 30 years. His time at Jones came to a screeching halt, however, after the brokerage fired him for using written material without proper attribution

Latest to leave embattled firm since the federal government's bailout of American International Group Inc., the broker-dealer network's parent company