Ranked by number of B-D clients
Russell Wasendorf Sr. faces up to 50 years for part in commodity brokerage's collapse
JPMorgan Chase & Co. (JPM), the largest U.S. bank, reported a $4.4 billion trading loss in its chief investment office, bigger than analysts estimated, that helped drive second-quarter profit down 9 percent.
Small Attain Capital struggles to cope with shocking news about Peregrine Financial Group
President promises to shoot down bill extending Bush era tax cuts for wealthy; does not augur well for HNW clients
Small Attain Capital struggles to cope with the shocking news coming out of Cedar Falls, Iowa (pictured). Says one executive: 'We have a lot of anger and frustration about this.'
Few make enough money to be hit by 3.8% surcharge; did insurers cry wolf?
Size of new adviser-sold accounts now considerably larger than direct-sold accounts; all part of a 'holistic financial plan'
Generated $1B in commissions in first nine months of 2011; 'power that would make a mobster envious'
Net flows for 529s turn positive in the fourth quarter; 'good sign for the industry'
Regulator names names in statement disclosing Reg D enforcement actions; Securities America on the list
William Bruen Sr., William Bruen Jr., and Andrew Bruen, a three-generation team of financial advisers managing over $500 million in assets, left Morgan Stanley Smith Barney LLC for UBS Wealth Management last week
Value-meister Cooperman seeking out undervalued stocks; plenty to choose from right now
Rising interest in equity income, plus payouts by cash-rich tech companies, cited as triggers; break out the streamers
