Results for "regional brokerages"

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Jefferies pays $2M to resolve Finra claims over brokers' disclosures

April 14, 2011

Jefferies Group Inc. (JEF) agreed to pay about $2 million to resolve Financial Industry Regulatory Authority claims that three employees failed to disclose conflicts of interest while selling auction-rate securities. Brokers for New York-based...

Baird snags managers from MSSB, aims to hire 150 more advisers

March 9, 2011

Robert W. Baird & Co. Inc. is opening up an office in Salt Lake City to offer financial advice with the help of Dean Cottle, a veteran wirehouse complex manager from Morgan Stanley Smith Barney LLC. Mr. Cottle and Theresa Sommerdyke, a vice...

Why Edward Jones could add 2,400 new reps this year

February 24, 2011

Brokerage firm Edward Jones this week announced that it plans to add up to 20 branch offices to the more than 60 it has in the state of Utah. But Utah, of course, isn’t the only territory that the St. Louis-based broker is targeting. The firm...

Money fund industry aims to foist reporting burden onto B-Ds

January 12, 2011

To avoid future panics in money market funds, the mutual fund industry is calling on federal regulators to force broker-dealers to disclose information about their money fund clients. Industry experts think that fund operators will get their...

B-Ds may pay more than $1M to foot bill for new audits

December 14, 2010

The largest U.S. broker-dealers may be asked to pay more than $1 million a year to fund annual inspections required by the Dodd-Frank Act, according to a proposal by the panel that oversees public-company audits. The Public Company Accounting...

Barred-broker-turned-politician sued by Baird

April 29, 2010

Robert W. Baird & Co. has filed a civil lawsuit against Kevin O'Brien, a former broker, for allegedly stealing hundreds of thousands of dollars from a client. The lawsuit may pave the way for citizens of a Cincinnati suburb to oust Mr. O'Brien...

Baird snags another Morgan Stanley Smith Barney team

March 29, 2010

Robert W. Baird & Co. Inc. has made another addition to its wealth management business, this time snatching a $150 million adviser team from Morgan Stanley Smith Barney LLC. Russ Guard, a 15-year veteran of Smith Barney, and Jacob Duffy, who...

RBC Wealth Management nabs duo from Stifel Nicolaus

March 1, 2010

RBC Wealth Management continues to add financial advisers from competing brokerages and has now recruited a two-person team from Stifel Nicolaus, a subsidiary of Stifel Financial Corp. Mike Lamb and Cindy Dellinger, who specialize in fixed income,...

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