Broker-Dealers

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  1. Articles

    Are brokers being branded with a scarlet 'S'?

    Proponents of a fiduciary standard are ganging up on commission-based advisers through public shaming regarding the Suitability standard.

  2. Articles

    New York City official wants to make brokers say: 'I am not a fiduciary'

    Advice industry mixed on the push for a New York bill to clearly distinguish advisers from brokers.

  1. Articles

    Royal Alliance acquires small independent B-D

    Formerly known as First Midwest Securities, the IBD has 33 advisers and $600 million under management.

  2. Articles

    LPL cuts cash bonuses for top three executives in 2014

    CEO Mark Casady takes biggest hit; $1.5M bonus is down 41% from previous year

  3. Articles

    Five broker-dealer execs no longer at Cetera

    Top managers from First Allied and J.P. Turner have left the sprawling Cetera Financial Group broker-dealer network, with 9,600 registered reps and financial advisers. Whether the exits are part of a broader reorganization is unclear.

  4. Articles

    Investors see few benefits of lower fees in adviser-sold investments

    Managed accounts sold by advisers deflect trend toward lower-fee money management as brokers work to maintain profits: Cerulli.

  5. Articles

    Finra's BrokerCheck gets a facelift

    Finra makes some information more prominent, but system still doesn't go far enough plaintiffs' attorneys say.

  6. Articles

    Ex-NFL player left out in the cold after $2 million award

    A former Green Bay Packers starter is unlikely to recoup funds lost from Resource Horizons, a firm that's already racked up more than $4 million in unpaid damages. (More: 7 famous athletes who claimed they were duped by advisers)

  7. Articles

    DOL head says fiduciary standard will happen

    Secretary Perez has confidence his agency will complete work on the rule before Obama's term ends.

  8. Articles

    Don Froude stepping down as president of Ameriprise's personal advisers group

    Froude, who oversees about 9,700 advisers, has been in the role since 2008. He will turn his focus to "field initiative and projects" at the company.

  9. Articles

    RCAP back on acquisition trail

    RCS Capital Corp. resumed building out its retail broker-dealer network Thursday, announcing it had closed on its acquisition of VSR Financial Services Inc., a mid-sized independent broker-dealer known for selling alternative investments.

  10. Articles

    Consumer groups accuse SEC of ignoring investors

    Consumer groups say the agency has been preoccupied with market issues to the detriment of the public and needs to tighten adviser oversight.

  11. Articles

    CFPB study reveals downside of mandatory arbitration

    With spotlight on consumer confusion, harm, some think SEC will be swayed to quicker action reviewing brokerage contracts.

  12. Articles

    Fiduciary duty becoming a more partisan issue, with Republicans standing alone against it

    Republicans stand alone as a barrage of letters flood Capitol Hill aimed at stalling the pending rule – at least, for now.

  13. Articles

    NAPFA forces resignation of Bert Whitehead, vocal compensation committee member

    The association asked veteran adviser Bert Whitehead to resign his post after he publicly aired his views on potential compensation conflicts of interest.