Results for "recruiting"

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SEC's Schapiro issues warning to broker-dealer executives

September 6, 2009

Securities and Exchange Commission Chairman Mary L. Schapiro last week issued an open letter to broker-dealer chief executives, warning them to make sure supervisors are vigilant about conflicts of interests as they recruit registered representatives....

Raids 'blindside' small B-Ds as brokers go for the gold

July 12, 2009

Recent raiding at broker-dealers has sparked ugly and bitter feuds and led to significant damage awards, and financial industry attorneys and experts see more cases in the offing. Last month, a three-member Financial Industry Regulatory Authority...

Brokerage firm recruitment deals are holding steady for top reps

June 14, 2009

Despite the intense scrutiny on executive compensation by legislatures and regulators, major brokerage firms continue to offer generous recruitment packages to top brokers. Overall, industry packages for leading producers are running at 180%...

For indie B-Ds, it isn't all gloom and doom

April 26, 2009

The fantastic growth among independent broker-dealers came skidding to a halt last year, but the results were far from disastrous — with some firms taking advantage of recruiting opportunities despite the revenue declines. According to an InvestmentNews...

UBS to overhaul its retail business

April 19, 2009

As part of a massive overhaul of its U.S. wealth management business, UBS AG is set to shed up to 2,000 jobs, shrink its regional operations and consolidate a number of branches here over the next several months. According to multiple sources,...

Wachovia stops offering profit-formula deals

April 12, 2009

Wachovia Securities last month stopped offering recruitment packages to potential recruits to its profit-formula platform. Profit-formula representatives are employee brokers who work in branch offices of Wachovia Securities LLC of St. Louis....

Top exec predicts record recruiting year

March 5, 2009

Raymond James Financial Services Inc. expects a record recruiting year, as reps and advisers flee struggling wirehouses to join the St. Petersburg, Fla.-based company. In the first five months of the company’s fiscal 2009, beginning Oct. 1,...

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