Results for "broker-dealers"

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Reg BI creates certainty and provides investors with a choice

August 28, 2019

On June 5, the Securities and Exchange Commission adopted a package of rule-makings and interpretations designed to enhance the quality and transparency of retail investors' relationships with investment advisers and broker-dealers. These actions...

Finra bars no-show former Vanguard rep in communications inquiry

August 20, 2019

The Financial Industry Regulatory Authority Inc. has barred former Vanguard representative Gregory John Braccili for failing to take part in a Finra investigation of his activities at the firm. [More:​ Finra bars no-show former Cetera rep]...

What's a disruptive force that no one is talking about?

August 15, 2019

Doug Besso, chief technology officer, HighTower “Using machine learning and artificial intelligence to create the augmented adviser, and really the augmented client, experience.” Cheryl Nash, president - investment services, Fiserv “I...

Finra fines, suspends ex-Cetera broker for Woodbridge-related transactions

August 15, 2019

The Financial Industry Regulatory Authority Inc. has fined former Cetera broker Roger Owens $10,000 and suspended him from the securities industry for a year for engaging in private securities transactions without Cetera's knowledge or approval....

Former Morgan Stanley rep fined for concealing athlete management business

August 6, 2019

The Financial Industry Regulatory Authority Inc. has fined former Morgan Stanley broker Ken Kavanagh $25,000 and suspended him for 18 months for running a business managing the personal affairs of professional athletes and concealing the business...

Connecting Clients to Liquidity

July 22, 2019

Get to know an increasingly popular player in today's wealth management space: the securities-based line of credit. Securities-based lines of credit, or SBLOCs, enable people to borrow against their non-retirement assets rather than cashing...

Deutsche Bank to add 300 employees to wealth management ranks

July 1, 2019

Deutsche Bank Wealth Management plans to add 300 client-facing relationship and investment managers over the next two years, the company announced Monday. The additional representatives will increase the ranks of such managers at the bank by...

10 IBDs with the highest payouts

May 6, 2019

Here are the 10 independent broker-dealers that reported the highest average payouts per producing rep in 2018 from among the 25 IBDs with the most producing reps. The data were collected from firms that participated in InvestmentNews’ independent...

Small Broker-Dealers Enjoy Big Benefits as Branch Offices

May 1, 2019

Small Broker-Dealers Enjoy Big Benefits as Branch Offices Growing regulatory risks, shrinking margins and increasing litigation have the owners of many small and mid-sized broker-dealers in search of an exit plan. One increasingly popular option...

2019 top independent broker-dealers ranked by revenue

April 24, 2019

Firm 2018 revenue ($M) % change vs. 2017 2018 commission revenue ($M) % change vs. 2017 2018 fee revenue ($M) % change vs. 2017 2018 other revenue ($M) % change vs. 2017 1 LPL Financial LLC 5188.4 21.2 1919.7 14.9 1793.5 27.3 1475.2 22.8 2 Ameriprise...

Finra bars no-show former Cetera rep

June 12, 2019

The Financial Industry Regulatory Authority Inc. has barred Nina Jessee, who resigned from Cetera Advisors amid allegations of unauthorized outside business activity, for not cooperating with its investigation of her activities. Ms. Jessee,...

Finra bars former LPL rep over no-show at hearing

May 20, 2019

The Financial Industry Regulatory Authority Inc. has barred a former broker for failing to take part in a hearing looking into his alleged outside business activities when he was employed by LPL Financial. (More:​ Finra bars former Morgan...

4 ways to use digital tools to acquire clients

May 1, 2019

Client relationships are the lifeblood of your business. As technology and consumer expectations evolve, you must ensure you have the right digital tools and approach for a successful client acquisition strategy. Here are four ways to stay engaged...

Finra orders New Jersey broker-dealer to pay $205,000 over excessive trading

April 25, 2019

The Financial Industry Regulatory Authority Inc. has ordered New Jersey-based broker-dealer Buckman Buckman & Reid to pay approximately $205,000 in restitution to seven customers for failing to supervise two former registered representatives...

Ameriprise to open bank with up to $2.5 billion in client deposits

April 26, 2019

Ameriprise Financial Inc.'s plans for its new retail bank are rounding into shape, with executives telling analysts in a conference call Thursday that the company intends to launch the bank with up to $2.5 billion in client deposits. Ameriprise...

Lessons I've learned on how to thrive

November 17, 2018

This year's Women to Watch winners are an exceptionally talented group of industry leaders whose acumen, leadership, mentorship and service stand out within their organizations and the financial services industry. As I learned of the accomplishments...

Investigation into LPL broker's eBay business leads to bar

April 16, 2019

The Financial Industry Regulatory Authority Inc. has barred former LPL broker Renee Altamirano after she declined to take part in an investigation of her outside business activities. LPL terminated Ms. Altamirano in March 2018 for violating...

Cetera to acquire assets of Foresters Financial's U.S. advisory business

April 9, 2019

Cetera has agreed to purchase select assets of Foresters Financial's U.S. broker-dealer and advisory business. Terms of the transaction, which is expected to close in June, were not disclosed. As part of the asset purchase agreement, Cetera...

Ameriprise getting ready to launch its bank

March 14, 2019

Ameriprise Financial Inc. is moving closer to launching a retail bank, which would add to the suite of products its close to 10,000 financial advisers can sell and recommend to clients. Among those products are likely to be mortgages, according...

Finra set to propose new rules targeting rogue brokerages

March 13, 2019

Finra is poised to propose new rules targeting rogue brokerages. The Financial Industry Regulatory Authority Inc. made the announcement Wednesday in a statement about its Feb. 28 – March 1 board meeting in Boca Raton, Fla. "The board approved...

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