Results for "broker-dealers"

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Finra holds off sending nontraded REIT share price rule to SEC

May 20, 2014

Finra is delaying sending proposed new rules to the Securities and Exchange Commission that would give investors a clearer picture of what it costs to buy shares of a nontraded real estate investment trust. The Financial Industry Regulatory...

Nation at risk of another economic crisis, Bowles warns

May 20, 2014

The nation's economy and clients' wealth face a dire and inevitable threat unless the U.S. government curbs spending, Erskine Bowles warned advisers at Raymond James Financial Services' national conference in Washington. “We're going to face...

Schorsch to buy Validus Strategic Capital Partners, a broker-dealer of nontraded REITs and BDCs

May 20, 2014

Taking a breather from buying retail broker-dealers, RCS Capital Corp. announced Tuesday it had agreed to buy a competing wholesale broker-dealer of nontraded real estate investment trusts and business development companies. RCS Capital said...

Deutsche Bank's Pace set to leave wealth unit

May 20, 2014

Ben Pace, Deutsche Bank AG's chief investment officer for wealth management in the Americas, is leaving, according to two people with knowledge of the matter. Mr. Pace is departing along with a group of portfolio consultants, said the people,...

Finra goes after algorithmic trading trickery

May 20, 2014

Finra is investigating 170 instances in which brokerages may have used mathematical algorithms to engage in abusive trades. Examples include rapidly placing and then canceling trades to create the illusion of market demand. Waves of equity trades...

Schorsch buys Red Lobster properties in $1.5 billion deal

May 16, 2014

American Realty Capital Properties Inc. announced Friday it bought the land on which more than 500 Red Lobster restaurants stand in a $1.5 billion sale-leaseback deal. The company, which is a listed real estate investment trust, bought the property...

Brokers find it harder to wipe slate clean

May 16, 2014

Heightened scrutiny of Finra's expungement process is making it harder for brokers to clear their names, according to a survey of arbitration claims in recent months. After a highly publicized study last November by the Public Investors Arbitration...

Finra, SEC at odds over disclosure of bad behavior by brokers

May 16, 2014

Finra and the SEC are at odds over how much Wall Street wrongdoers should have to admit about their bad behavior. Splitting hairs when it comes to brokers behaving badly. When regulators send mixed messages Millennials might be great at getting...

Larry Roth wants to double Schorsch's B-D network

May 16, 2014

Larry Roth, the new head of Nicholas Schorsch's burgeoning independent broker-dealer network, said he expects to have 20,000 brokers on board within five years, which could make it the largest such firm in the country. Mr. Roth was appointed...

4 reasons not to launch your own hybrid RIA

May 15, 2014

Those of us who have been in the independent financial advisory space for some time should feel vindicated when we look at our industry today. Liberated from having to push proprietary products or make top-down sales quotas, independent advisers...

UBS shuffles management, hires ex-Morgan Stanley exec

May 15, 2014

UBS Wealth Management Americas has reorganized the leadership of its approximately 7,100 advisers as the firm looks to add additional levels of accountability and expand product offerings for clients, according to an internal memo sent circulated...

Wall Street traders' bonuses falling as asset managers get more

May 14, 2014

Wall Street’s bonus pool may rise as much as 10% this year for asset managers while fixed- income traders could see a 15% cut, according to compensation consultant Johnson Associates Inc. Incentive pay will probably rise the most in investment-...

Merrill Lynch launches technology-driven retirement tools

May 14, 2014

Merrill Lynch Wealth Management on Wednesday announced the launch of a technology-driven set of retirement tools to help advisers talk about goals-based financial planning with clients. Called Merrill Lynch Clear, the technology facilitates...

Morgan Stanley taps new head for private wealth unit

May 14, 2014

Morgan Stanley Wealth Management, the largest of the four wirehouses by financial adviser head count, has filled a key position left open following a reshuffling of management in late February, according to an internal memo sent to the firm's...

Donald Runkle, ex-chief compliance officer for Raymond James Financial Services, joining law firm

May 13, 2014

The former longtime chief compliance officer for Raymond James Financial Services Inc., Donald Runkle, is joining the law firm of Edgerton & Weaver as director of consulting services. With offices in California, New York and Florida, Edgerton...

Valerie Brown out at Cetera

May 13, 2014

Nicholas Schorsch's RCS Capital Corp. is shaking up its management, announcing that Valerie Brown, the longtime head of Cetera Financial Group and its predecessor ING broker-dealers, has stepped down and is being replaced by Larry Roth, whom...

Raymond James adds Morgan Stanley adviser with $360 million in AUM

May 12, 2014

Raymond James has picked up a former Morgan Stanley adviser with $360 million in assets, as the firm looks to expand on the West Coast. Adviser Stephen Besse joined Raymond James & Associates Inc.'s Walnut Creek office on May 2, having previously...

Wells Fargo gets aggressive to help advisers protect assets of elderly clients

May 12, 2014

As they lead clients into retirement, advisers are one of the first lines of defense in protecting clients who may show signs of cognitive decline or be susceptible to scam artists. To help combat those threats, Wells Fargo has tapped its former...

SEC weakness allowing investment adviser violations to slip through the cracks

May 9, 2014

A large number of investment advisers may be getting away with violations of securities laws and other misconduct because the Securities and Exchange Commission does not examine them as closely as it does brokers, according to Daniel Gallagher,...

U.S. Trust hires managing director from JPMorgan in expansion bid

May 9, 2014

The rivalry among boutique firms competing for the business of ultrawealthy clients continues to heat up with U.S. Trust's recent hire of a managing director from JPMorgan Chase & Co.'s private bank. The firm has added Sam Gottesman to fill...

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