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Intensifying its recent focus on protecting retirees, the Financial Industry Regulatory Authority began last month a sweep of broker-dealers focusing on the use of exemptions in the tax code to withdraw money from retirement accounts for clients before they reach 59½.
In order to take on the big boys of the independent broker-dealer market, some growing middle-tier firms are offering souped-up compensation packages in place of or along with big upfront checks.
FINRA is sweeping B-Ds looking for improper early withdrawals from client retirement accounts.
A massive snafu is stopping 10,000 advisers affiliated with Linsco/Private Ledger Corp. from doing business online.
Firms are receiving the $35,000 that was promised upon the completion of the NASD-NYSE Reg merger.
Waddell & Reed will offer its advisers updated technology and a new outside platform for its top 300 reps.
For the second consecutive year, LPL Financial Services is giving a bump to its bigger-producing registered reps.
Bear Stearns Broker-Dealer Services has expanded its sales and account officer teams with four new hires.
Payment for order flow and internalization of retail options orders to affiliated dealers by brokerage firms has become more pervasive, the Securities and Exchange Commission found in a study
After eight months of negotiations, LPL Financial Services Inc. this morning finalized the details of its acquisition of the majority of the broker-dealers owned by Pacific Life Co. of Newport Beach, Calif.
Three executives of National Planning Corp., Sean Haley, Bryan Jacobsen and Austin Moon, have received promotions.