Ex-brokers' lawyer claims intimidation from B-D
NASAA says hikes mark first boost in four years
After months of speculation, formidable Iowa broker Donald DeWaay is shuttering his B-D. Here's why.
Karsten follows Botsford out the door; headed to Triad
In one of its few big deals in recent years, NFP picks up a firm with 240 reps. Jessica Bibliowicz, the firm's CEO: 'We are definitely on the acquisition path.'
Move could ease bottlenecks, bring state more in line with most others.
A Finra arbitration panel has ordered Cambridge Legacy Securities to pay an investor $1.5 million over private placements
VII Peaks Capital actively looking for new wholesaler
CEO says family style, lack of outside investors attracting reps, advisers.
Insurers that underwrite errors-and-omissions policies for broker-dealers are exercising greater authority in approving the alternative investments that their clients sell.
20-year vet was key to broker-dealer's emergence as industry juggernaut
Two large industry groups have slammed a Finra proposal that would require greater disclosure of incentive bonuses.
