Results for "regional brokerages"

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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...

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...

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...

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...

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...

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...

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...

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...

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...

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...

Brightscope set to push out adviser fees

April 9, 2013

Brightscope Inc. has begun collecting fee data from advisory firms' ADV forms and plans to begin releasing the information sometime this year, potentially providing the public with a powerful tool to compare advisers' pricing. “If we can help...

Baird expands in the oil patch

April 9, 2013

Robert W. Baird & Co. Inc. is expanding its wealth management operations in Texas, recruiting seven former Wells Fargo advisers and hiring veteran UBS manager John Hantak to open a new office in Houston. All seven previously worked at AG Edwards...

Raymond James sweetens the pot for hybrids

March 18, 2013

Bowing to competitive pressures, Raymond James Financial Services Inc. is sweetening the pot for its top independent hybrid advisers but the moves might not be enough to move the attract loads of new advisers. Advisers with Raymond James Financial...

Finra's broker-comp proposal raises hackles

March 5, 2013

Two major financial market lobbies have criticized a regulatory proposal that would require brokers to reveal the compensation incentives they receive when moving from one firm to another. In comment letters to the Financial Industry Regulatory...

So long, Morgan Keegan

February 26, 2013

Raymond James Financial Inc. has completed the integration of Morgan Keegan advisers and their clients to the company's technology platform ten months after closing on the acquisition of the brokerage. It simultaneously announced the retirement...

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