Results for "regional brokerages"
Displaying 192 results
July 10, 2012
The Financial Industry Regulatory Authority Inc. on Monday said three candidates will be squaring off for an open small-firm seat on the Finra board. The small-firm candidates are: Kevin Carreno, part owner and general counsel of International...
April 9, 2012
The following is an excerpt from Backstage Wall Street: An Insider's Guide to Knowing Who to Trust, Who to Run From, and How to Maximize Your Investments, written by Josh Brown, vice president and financial adviser at Fushion Analytcis Investment...
March 16, 2012
Morgan Keegan, the brokerage being sold to Raymond James Financial Corp., lost its bid to be dismissed from an $8 billion lawsuit brought by Canadian insurer Fairfax Financial Holdings Ltd. Fairfax, in its 2006 lawsuit, accused investors of...
March 1, 2012
Finra is considering giving up its proprietary lock on BrokerCheck data, paving the way for a higher level of scrutiny of brokers' disciplinary information, observers said. The Financial Industry Regulatory Authority Inc. earlier this month...
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...
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...
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...
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...
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...
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...
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...
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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