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Former REIT kingpin Wells closing broker-dealer

December 27, 2013

After pulling back from the hot nontraded-REIT market this year, legendary real estate investor Leo Wells is exiting the wholesaling-broker-dealer business. Wells Investment Securities Inc. filed its termination request, or “broker-dealer...

PIABA seeks more Capitol Hill influence in 2014

December 27, 2013

A group of lawyers that represents investors in claims against brokers wants to have more influence in the halls of Congress. “We're taking a more active role in trying to impact legislation,” said Jason Doss, president of the Public Investors...

Broker settles SEC charges of misuse of rebates to adviser

December 26, 2013

A broker paid more than $800,000 to settle Securities and Exchange Commission charges that it gave commission rebates to an investment advisory firm, whose president then used them to make improper payments to his ex-wife and to pay for a personal...

2013's five biggest beneficiaries of adviser moves - The top firms by net change in AUM

December 22, 2013

2013 was a busy year for adviser movement, and via the InvestmentNews Advisers on the Move Database, we’ve pulled together a list of the top five firms that saw the biggest positive assets under management change in 2013. Click through to...

The 10 biggest adviser moves of 2013 - The year's biggest adviser moves

December 22, 2013

2013 featured over 330 adviser moves reported and added to the InvestmentNews Advisers on the Move database. The year in adviser moves featured 17 teams with previous client assets exceeding $1 billion changing firms. We’ve pulled together...

Broker to the stars, Bambi Holzer, barred from securities industry

December 20, 2013

In a stunning fall from fortune, a former broker to the rich and famous, Bambi Holzer, agreed Thursday to a settlement with the Financial Industry Regulatory Authority Inc. that bars her from the securities industry. Read Finra's disciplinary...

Four recruiting trends for 2014

December 19, 2013

As we close the books on 2013, most firms have long since set their recruiting goals for 2014. In the process, many have asked where our team saw transitioning advisers moving in 2014. After talking to advisers from around the country, working...

In 2014, carrot and stick for advisers at Wells Fargo

December 19, 2013

Wells Fargo & Co.’s largest group of financial advisers will have to generate more revenue or meet new performance targets in 2014 in order to pocket the same cut of revenue they earned this year. But the third-largest brokerage will also...

Wall Street broker contests SEC's probe with harassment lawsuit

December 18, 2013

Companies usually keep a low profile when the Securities and Exchange Commission investigates them. Robert DePalo decided to sue. Mr. DePalo is accusing the SEC of asking investors “leading and alarming questions” during a 2½-year probe...

UBS sees turnaround in wealth management boosting profit

December 17, 2013

UBS AG, the world's largest wealth manager, said a reversal of outflows is occurring as clients shift money to be managed directly by the bank or pay for advice after it revamped services to boost profitability. The advisory business had cumulative...

LPL adds to its team in Michigan

December 17, 2013

LPL Financial is adding two Detroit-area advisers to its broker-dealer and adviser-custodial platforms. Kelley F. Snook Jr., a retirement plan adviser who managed $4.3 billion in assets, and Paul Housey, who managed $78 million, have signed...

Clearing firm agrees to pay $1 million fine in Finra settlement

December 16, 2013

COR Clearing, formerly Legent Clearing, has been censured and fined $1 million by Finra for a variety of compliance failures involving lapses in anti-money-laundering procedures, financial reporting and supervisory obligations. COR provides...

BNY Mellon to sell Wall Street headquarters

December 16, 2013

Bank of New York Mellon Corp. plans to sell Manhattan's 1 Wall St., the Art Deco skyscraper that serves as its corporate headquarters, and has hired brokers to find a smaller amount of space to lease elsewhere. CBRE Group Inc., the world's biggest...

BrightScope opens platform, allowing advisers to make changes for free

December 12, 2013

Financial information website BrightScope Inc. said Thursday that financial advisers who want to make changes to their online profiles on the firm's Advisor Pages platform will be able to do so free of charge, following adviser complaints over...

Is it time to rethink the price-earnings ratio?

December 12, 2013

Prudent financial advisers shudder when stock market pundits chatter about discovering new paradigms for measuring stocks, particularly during the heady days of a bull market — for good reason. Such prattle about “paradigm shifts” in the...

Industry must draw a line between brokers and financial advisers, TD exec says

December 12, 2013

At a conference in Las Vegas, Skip Schweiss, TD Ameritrade Institutional's managing director of adviser advocacy, told the press Wednesday to stop calling broker-dealer representatives “advisers” in their stories. InvestmentNews asked him...

Merrill Lynch in $132 million SEC settlement over faulty disclosures on derivatives

December 12, 2013

Merrill Lynch will pay $131.8 million to settle charges it misled investors about three structured debt products before the financial crisis. The Securities and Exchange Commission said Thursday that the largest brokerage by client assets failed...

The Dow is getting dicey at levels reminiscent of 2000, 2007 peaks

December 10, 2013

On an inflation-adjusted basis, the Dow is now where it was during the peaks of 2000 and 2007, a detail that is triggering new concerns over how much more stocks can run. A very critical juncture, technically speaking Five years after Bernie...

Bogle: Apply fiduciary duty to anyone 'touching other people's money'

December 10, 2013

A longtime financial markets leader called on federal regulators Tuesday to stiffen their spines and propose rules that would require everyone providing investment advice to act in the best interests of their clients. There is widespread opposition...

Online investment firm SigFig steps into managing money

December 10, 2013

For the first time, an online adviser is expanding its footprint into fee-based portfolio management, heating up a battle among startup companies looking to corner the market on automated investment advice for the masses. SigFig Wealth Management,...

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