Some optimistic, others skeptical about plan to scrap the automatic per-share value of $10.
Can both spouses file and suspend their benefits?
Department wants to make sure investors are protected when given more latitude in picking investments .
A broker who had a client invested in the private-equity shop that was acquiring Burger King was ordered to pay $5.6 million to settle insider trading charges related to the deal.
Firm has 1,500 affiliated registered reps and advisers; $32B in client assets.
A new plan for Barclays advisers offers a more even ratio between salaries and bonuses. The payout grid remains in place, but it's not the same. <b><i>Plus:</b> <a href="http://www.investmentnews.com/gallery/20131119/FREE/111909999/PH">How adviser salaries stack up vs. other jobs</b></a></i>
At these sizes, it becomes increasingly difficult to ignore the strides that robo-advisers are making.
Plenty is written about using technology to engage clients, but what about when the client doesn't want to engage?
High Risk Broker initiative led to "concentrated effort" and "material results," Finra CEO wrote in letter to Sen. Edward Markey, D-Mass.
Securities America Inc. has launched a succession-and-acquisition-listing website for advisers in its network and for the two other broker-dealers owned by Ladenburg Thalmann Financial Services Inc. Approximately 1,000 advisers affiliated with the two broker-dealers, Investacorp Inc. and Triad Advisors Inc., will join Securities America's 1,760 advisers on the listing site, which is designed to provide a succession-planning network for Ladenburg's aging work force.
The Michigan-based team rejoins the firm after six years away
Weather worries trigger move away from Florida headquarters.
The newly appointed head of the wirehouse is reorganizing the firm's top brass.
How much do wholesalers know about advisers? And what are they telling the competition?
Deal comes in wake of blockbuster $1.15B acquisition Thursday of Cetera Financial. RCS Capital chairman Nicholas Schorsch <a href="//www.investmentnews.com/article/20140116/FREE/140119918"" target=""_blank"" rel="noopener noreferrer">compared his burgeoning broker-dealer network to the old Merrill and Raymond James</a>.
Sheryl Rowling dishes on how technology helped her firm managed through a recent examination by the Securities and Exchange Commission. It made a difference.
A new SEC plan to target advisers who have never undergone formal compliance examination is drawing support from advisers.
Tactics include holding back on both the amount and timing of 401(k) matches and dragging out vesting schedules
