Results for "regional brokerages"

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Raymond James snags four industry bigs in RIA push

July 17, 2013

Raymond James is ramping up its small RIA custody unit. The firm plans a media campaign beginning in September to get the word out about its custody service as well as options for hybrid advisers. In addition, the firm announced today the hiring...

John Hancock to go with Signator Investors name for broker-dealer

July 16, 2013

In a move to clarify the branding of its independent broker-dealer, John Hancock Financial Services will market its broker-dealer to advisers under its registered name, Signator Investors Inc. and relegate the John Hancock name to a secondary...

Finra gets OK to share more info about reps' disciplinary records

June 25, 2013

The brokerage industry regulator has won Securities and Exchange Commission backing to provide more public information about brokers who are the subject of disciplinary complaints and actions. The SEC approved a proposal by the Financial Industry...

Interest rate spike boosts fortunes of broker-dealers

June 24, 2013

Broker-dealer executives have been waiting since the financial crisis for interest rates to rise, presenting an opportunity to boost profits on such rate-sensitive lines of business as margin lending and money market funds. Now, with long-term...

The Takeaway: The death of the small broker-dealer

June 18, 2013

Portfolio Herb Greenberg: A stock that goes higher is not proof that the short thesis was invalid...or over.  (CNBC) Once upon a time in 1996, Japan attempted a "taper" of its own. You were busy listening to "Bad Day' song by Daniel Powter...

Insurer to sell its broker-dealer to John Hancock

June 11, 2013

Another insurance company is exiting the independent broker-dealer business. Symetra Financial Corp. said today it intends to sell its broker-dealer to John Hancock Financial Services Inc., a unit of Manulife Financial Corp. Symetra Investment...

Morgan Stanley fights Idaho defecting brokers

May 30, 2013

When is a successful recruiting effort actually a competitive raid? Morgan Stanley will test that question in arbitration with the Financial Industry Regulatory Authority Inc., now that an Idaho federal court judge has denied most of its requests...

With new name, broker-dealer group retrenches and sets relaunch

May 30, 2013

After dropping off the radar screen for the past year, the National Association of Independent Broker/Dealers Inc. plans to relaunch itself next month with a new name, the National Association of Broker Dealers. The “independent” part of...

Ketchum suggests brokers falling short in discussing risk

May 21, 2013

As investors move increasingly into sophisticated investments, brokerage firms need to do a better job of talking to them about the dangers of such complex products, the industry's regulator said today. Richard G. Ketchum, chairman and chief...

J.D. Power: Satisfaction with investment firms up

May 12, 2013

Investor satisfaction with large investment firms continues to inch higher since plummeting in 2009, and the firms with the top scores have clients who are very happy with their financial advisers and investment performance, a new survey has...

D.A. Davidson in deal for Crowell Weedon

May 1, 2013

D.A. Davidson & Co., a full-service investment firm based in Great Falls, Mont., is acquiring Crowell Weedon & Co., a Los Angeles-based brokerage and money management firm. The combination will create the largest full-service independent broker-dealer...

Wells thwarted in raiding claim

April 28, 2013

An arbitration panel's recent decision to deny Wells Fargo Advisors LLC's $30 million raiding claim against crosstown rival Stifel Nicolaus & Co. Inc. is just the tip of the iceberg in a six-year battle over advisers. More than a dozen raiding...

Stifel turns tables on Wells Fargo with 'scorched earth' claim

April 26, 2013

An arbitration panel's recent decision to deny Wells Fargo Advisors LLC's $30 million raiding claim against crosstown rival Stifel Nicolaus & Co. Inc. is just the tip of the iceberg in a six-year battle over advisers. More than a dozen raiding...

Schwab website still on the fritz

April 24, 2013

The Charles Schwab Corp. said today that its website is continuing to have intermittent access problems following a cyberattack but that no client data or accounts have been compromised. The denial-of-service attack was noticed right before...

The Takeaway: How did the rich get that way?

April 24, 2013

Portfolio Yes of course there's a new 3D Printing index, how else will people be able to get blown up in the inevitable ETF?  (Index Universe) An investing rule I believe could help you a great deal.  (The Reformed Broker) How Jim Chanos is...

Pay up to play: Securities exam fees to increase June 1

April 17, 2013

Fees for securities licensing exams will increase as of June 1, the North American Securities Administrators Association Inc. announced today. Broker and investment adviser candidates who take the Series 63 exam will be charged $115, up from...

The Takeaway: Hold your horses on preferred stock

April 16, 2013

Portfolio Goldman Sachs: Forget gold, nat gas is the new safe haven. (The Tell) That Reinhardt-Rogoff research that's been used to justify an avalanche of austerity around the world? There may have been a small error... (Next New Deal) Some...

The Takeaway: It's Jack Bogle's world

April 15, 2013

Portfolio ETFs aren't going to solve investors' bad behavior problems. (Bucks) Goldbugs search for secret conspiracies to explain their massively upside-down positions in the so-called Safety Trade. Keep searching. (Business Insider) The Biz...

Raymond James cuts 160 staffers, no advisers

April 12, 2013

Raymond James Financial Inc. has cut 115 jobs from its home office staff in St. Petersburg, Fla., and another 45 nationally in an “unprecedented” round of layoffs in the wake of its acquisition last year of Morgan Keegan & Co. Inc. The two...

Florida on verge of making branch office registration instantaneous

April 12, 2013

Sometime over the summer, broker-dealers and investment advisers will have an easier time setting up branch offices in Florida, thanks to legislation that appears likely to be enacted. A bill that would replace the current registration process...

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