A potential proposal by Finra requiring reps to dislose their recruitment incentive to clients is drawing decidedly mixed reviews. Dan Jamieson reports on the reaction.
Full disclosure on recruiting packages? Bring it on!
While other insurers sell off their indie broker-dealer units, AIG is buying. Indeed, Tuesday's acquisition of Woodbury Financial looks to be the first in what could be a string of deals.
Announcement of a deal for the 1,600 reps and advisers is expected before indie B-D's national sales conference next month
Despite continued market volatility, it appears as though the independent investment advisory world has finally turned the corner and moved beyond the worst of the recession that followed the “mortgage meltdown.”
Finra eyes requiring the disclosure of recruiting incentives to clients | <b>Sarch:</b> <a href=http://www.investmentnews.com/article/20121129/BLOG01/121129937>Transparency for bonuses? Bring it on! &raquo;</a>
The rise and fall of superstar broker Don DeWaay says plenty about the state of the industry -- and its future.
Alliant seeks to expand retirement offerings, grow advisory business; 35th deal for B-D this year
Waldron to custody assets elsewhere but keep relationship
Five groups with $4.4B in assets have signed on during the past three months; 'strong pipeline'
Lisa Roth's Keystone Capital cops an offer from Fortune Financial principals
Ladenburg Thalmann Financial Services Inc., which owns three sizable independent broker-dealers, stands to benefit from long term trends such as the increase in the number of Baby Boomers retiring and advisers leaving large financial institutions
Advisers not thrilled by short deadline on variable annuity pullback
Albridge survey shows most brokerages fork out 10% of revenue on oversight
