Results for "broker-dealers"

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LPL recruits $300 million Founders Federal Credit Union group from Cetera

November 28, 2018

LPL Financial has recruited a team managing $300 million from Cetera Advisor Networks, one of six independent broker-dealers under Cetera Financial Group. Founders Investment Services, an advisory unit of Founders Federal Credit Union in Lancaster,...

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...

How to tell good brokers from bad ones

November 2, 2018

Don't be so quick to believe the dirt you hear about brokers. That's the inescapable takeaway from research reported by Bloomberg News last week showing that false accusations of broker misconduct are disturbingly common. Dynamic Securities...

Bob Oros resigns as HD Vest chief executive

October 31, 2018

Less than two years after departing Fidelity Investments, where he was head of the RIA segment, Bob Oros has announced his resignation from broker-dealer HD Vest Financial Services. According to a statement from Blucora, HD Vest's parent company,...

Cetera purges board after being bought by Genstar Capital

October 11, 2018

Cetera Financial Group said on Thursday morning that it had overhauled its board of directors, with its new board reflecting the recent sale of the large brokerage network to Genstar Capital for $1.7 billion. Gone are Bob Dineen, the former...

Fidelity sues former broker's RIA firm for misuse of trade secrets

May 3, 2018

Fidelity Brokerage Services has filed suit against Provident Financial Planning, a registered investment advisory firm owned by Paul Michel, a former broker in the firm's Southlake, Texas, office. Fidelity charges that Provident is using proprietary...

Not yet a broker, yet barred by Finra

March 27, 2018

The Financial Industry Regulatory Authority, Inc. has barred Holly Arbuckle, who was in the process of becoming a broker at Merrill Lynch, for not appearing at a hearing investigating the circumstances of her dismissal from the firm. On Sept....

SEC censures BGC Financial, imposes $1.25 million penalty over records

July 17, 2018

BGC Financial, a New York-based broker-dealer that was spun off from Cantor Fitzgerald in 2004, has agreed to pay a $1.25 million penalty to settle charges that it failed to preserve audio files sought by the SEC and inaccurately recorded travel,...

Headwinds Turn to Tailwinds for Real Assets

July 16, 2018

To many market observers, the first quarter of 2016 marked the low point for sectors commonly associated with real assets. Stagnant global growth, oversupplied commodities markets, a strong U.S. dollar, and natural resource companies with bloated...

Olympics advice from champion advisers

February 6, 2018

As the world turns its eyes to the XXIII Winter Olympic Games, it's worth noting that the U.S. financial adviser community boasts a fair share of former Olympians. See who they are — and their advice to those vying for the gold in PyeongChang,...

Vermont hybrid managing $330 million moves from Lincoln to LPL

June 14, 2018

Flood Financial services, a hybrid firm managing $330 million in assets in South Burlington, Vt., has switched its broker-dealer and registered investment adviser platforms from Lincoln Financial Services to LPL Financial Services. Richard Flood,...

What's new in today's move to independence

July 10, 2018

The following is a new white paper produced by Sigma Financial Corporation & Parkland Securities, LLC and the InvestmentNews Content Strategy Studio, “How to Determine if a Broker-Dealer is Right for You: Six questions advisors must ask about...

Insurance group advising on $222 million consolidates at Securities America

June 28, 2018

Futurity First Insurance Group, a nationwide insurance distribution firm advising on $222 million, has affiliated with Securities America, consolidating its broker-dealer relationships. The firm's 20 advisers had been affiliated with Mutual...

Finra bars broker for failing to provide information during investigation

June 19, 2018

The Financial Industry Regulatory Authority Inc. has barred Dennis Farrah, an Aurora, Colo.-based broker most recently with Taylor Capital Management, for failing to provide information in connection with an investigation. Finra said it was...

Head of Securities America gunning for Finra board seat

June 13, 2018

James Nagengast, CEO of Securities America Inc., is challening the Financial Industry Regulatory Authority Inc.'s hand-picked nominee for a seat on the regulatory body's board of governors. Both Mr. Nagengast and Finra's choice for the seat,...

Finra's stats reveal an industry in decline

October 20, 2017

Recent statistics released by the Financial Industry Regulatory Authority Inc. indicate that the brokerage industry is in decline, at least when measured by the total number of individuals and firms that the industry-funded broker-dealer regulator...

2018 and beyond: Business planning, and questioning

November 3, 2017

As an adviser, you know 2017 has been dosed with Department of Labor hoopla, while it's been simultaneously tamed by a bull market. Just imagine what next year might bring. Have you devised a plan for it yet? Advisers frequently say they need...

Former AXA broker in Arizona charged with $475,000 client theft

May 30, 2018

A former AXA Advisors broker in Scottsdale, Ariz., has been indicted on charges that he stole $475,000 from three of his clients' retirement accounts, according to a statement by the state attorney general's office reported by azcentral.com....

Utah moves to fine Cetera, LPL and CUSO over credit union violations

May 7, 2018

The Utah division of securities last month moved to fine three large independent broker-dealers, Cetera Advisor Networks, LPL Financial and CUSO Financial Services, a combined $2.25 million for industry rule violations stemming from how broker-dealers...

Former Newport, Revere rep barred for failure to testify

August 11, 2017

Finra has barred former registered representative George Dahl for failure to provide testimony to its staff at a hearing that was looking into his conduct. In March 2016, the Financial Industry Regulatory Authority Inc. issued a letter of acceptance,...

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