Displaying 130 results
Broker-dealers face administrative hurdles in rollout of QLAC annuity
Confusion remains over who ensures the contract purchase meets Treasury's guidelines.
Securities America buying insurance-based B-D
Sunset Financial Services has 268 affiliated reps and $2.4 billion in client assets.
Securities America buying Dalton Strategic Investment Services
Trend of small and midsize broker-dealer mergers and acquisitions continues to build.
B-Ds get mixed results in ruling over failed real estate deal
Independent broker-dealer Berthel Fisher & Co. Financial Services Inc. scored a victory this month in an arbitration over an investor seeking $934,000 in restitution for investing in a real estate deal involving an office building in Minnesota.
Securities America focus of second state nontraded-REIT inquiry
B-D that was part of Massachusetts settlement is now facing questions from Pennsylvania
Finra fines two IBDs owned by Ladenburg Thalmann a total of $1.275M
Triad Advisors, Securities America failed to supervise reps who created and sent inaccurate consolidated account statements to clients, regulator says.
Securities America pays $100,000 fine
Securities America Inc. has agreed to pay a $100,000 fine to the Financial Industry Regulatory Authority Inc. over e-mail violations.
Analyst: Ladenburg set for growth acceleration
Ladenburg Thalmann Financial Services Inc., which owns three sizable independent broker-dealers, stands to benefit from long term trends such as the increase in the number of Baby Boomers retiring and advisers leaving large financial institutions
From Timex to Droid: How to relate to — and retain — clients’ heirs
Identifying key items with different age groups can help advisers close the generation gap, Wells Fargo exec says
Private placements cause Finra to slam eight broker-dealers
Finra continues to slam broker-dealers for their sales of allegedly fraudulent private placements. The regulator last Tuesday…
Ladenburg bonuses should ease retention headaches at SAI
Buyer of Securities America offers carrot to the unit's brokers to entice them to stick; 'most of the advisers will stay put'
Securities America reps see closure in settlement
A federal judge's approval this month of a class action settlement is good news for representatives from Securities America Inc. whose disgruntled clients named them in arbitration complaints over sales of private placements that went bust.
Ladenburg dangles bonuses before reps
Ladenburg Thalmann Financial Services Inc., the prospective owner of Securities America Inc., is offering bonuses to keep the firm's brokers on board and probably won't see an exodus, given the volatility of the stock market
‘Significant’ rep exits at Securities America
Commonwealth, Cambridge snag brokers who purportedly generated 5% of beleaguered B-D's revenue last year; new owner soon?
Securities America ‘in great spot’ after Mutual of Omaha deal
Brokerage Mesirow to take on 401(k) fiduciary duties for Mutual of Omaha plans sold by SA reps
Private-equity funds seek indie B-Ds
Parthenon Capital Partners’ pending acquisition of H.D. Vest Financial Services shows that private-equity funds are still interested in…
Two top Securities America advisers bolt for rival LPL Financial
'Stay bonus' be damned: LPL's gain is Securities America's loss as two top producers depart
LPL aggressively pursues Securities America’s top producers
While Securities America looks to find a suitor -- and tries to stop reps from bolting -- other B-Ds are on the prowl for the firm's top producers. The big winner so far? LPL.
Securities America asks reps to pledge allegiance
Securities America this week asked reps to sign a letter expressing their suppport for the firm. For some, the letter signals the besieged B-D is close to being sold,
<b>Buzz:</b>’Significant’ rep exits at Securities America
The bleeding has started at Securities America Inc., as competitors are successfully recruiting reps from the beleaguered broker-dealer.
