An often overlooked, but valued industry measurement.
The indie B-D industry took a giant step backward last year, with the largest 25 firms collectively reporting a 10.3% drop in gross revenue. <a href= http://www.investmentnews.com/apps/pbcs.dll/section?category=specialreporttemplate&issuedate=20100423&sid=BD0426> View the exclusive IN special report</a>
Let the whole story out, come clean with what happened, and you might come out of this with your reputation and franchise intact.
John Hailer, president and chief executive of the North American operations of Natixis Global Asset Management, fired off a letter to the head of the Employee Benefit Security Administration.
Donald Anthony Young, an investment adviser who headed Acorn Capital Management LLC, was charged with running a $25 million Ponzi scheme, prosecutors said.
Permanently barred by Finra in 2008, adviser signed up clients anyway, Ohio claims; citizens group wants him out as town treasurer
Check out the latest top ten list based on IN's new independent broker-dealer rankings
As the debate over financial regulatory reform heats up in the Senate, the fiduciary-standard issue simmers on a back burner, though its backers haven't abandoned hope of seeing its inclusion in a final bill.
Regional brokerage firms and some independent investment advisers have been making hay hiring hundreds of discontented wirehouse brokers.
A Congressman wants to know if the fraud charges filed against the Wall Street titan have anything to do with the finanical reform bill pending in the Senate
It's now or never for financial advisers to get their voices heard as Congress fleshes out the final details of the financial services reform bill.
LPL advisers can now sign up for training to use a re-balancing tool that was introduced last week as part of a new initiative for adviser-facing technology.
Spectrem Group also found that retirement accounts such as defined-contribution and defined-benefit plans rose 18% to $9.3 trillion in 2009, up from $7.9 trillion in 2008
West Hollywood fund manager put clients' money towards improving his financial situation, not their's
Ex-Credit Suisse Group AG broker Eric Butler can remain free while he appeals his securities-fraud conviction, a judge ruled, overturning another judge's decision.
InvestmentNews has now released its latest independent broker-dealer rankings, which can be viewed here. Below are two lists on the average payouts at the largest independent broker-dealers, based on information that InvestmentNews has gathered directly from the firms that have participated in the annual survey.
Count mutual funds and their investors among the big losers in the legal battle between the SEC and The Goldman Sachs Group Inc.'s broker-dealer unit.
The SEC's fraud suit against Goldman Sachs could trigger additional probes of collateralized debt obligations and lead to stricter regulation of the financial services industry
In court, Renato Negrin conceded that switching from a landline to a mobile during a talk with Jon-Paul Rorech was not normal. The duo are accused of insider trading
Fred C.C. “Corky” Crozier, the former head of private client services at Deutsche Bank's U.S. brokerage unit, has returned to the firm as a managing director and adviser in its Baltimore office.