Broker-Dealers

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  1. Articles

    RIA M&A deals picking up steam

    Lot of discussions going on but commercial banks, insurance companies and international investors still on the sidelines.

  2. Articles

    An 'adviser' in name only

    Calling a broker an adviser is dangerous, and it's time to embrace the black-and-white distinction.

  1. Articles

    Bruton makes first acquisition as CEO of Lucia Capital Group

    Derek Bruton didn't waste any time putting his imprint on Lucia Capital Group, striking a deal for the managed equity and fixed-income accounts of West Coast Asset Management, a registered investment advisory firm with $170 million in assets.

  2. Articles

    LPL to weigh in on tax reform with new federal policy push

    Nicole Petrosino, LPL's new head of federal government relations, outlines the firm's agenda, including getting advisers in front of their own elected officials

  3. Articles

    B-D's fate uncertain after $4M arbitration award

    Resource Horizons Group may not be able to meet net capital requirements; Kovack Securities opens its doors to advisers.

  4. Articles

    WFG Investments facing $650,000 Finra 'global fine'

    Comes on heels of another $200,000 penalty last year for missing a stock-fraud scheme

  5. Articles

    Schorsch adds industry veteran Dwyer to RCAP's team

    Former executive at LPL Financial will head up firm's nontraded REIT wholesaling and distribution unit.

  6. Articles

    Ladenburg Thalmann to buy Securities Service Network for $45M

    Cash and stock deal values the firm, with about 450 independent reps and advisers, at 39.4%, lower than other recent deals.

  7. Articles

    Jay Wintrob resigns as CEO of AIG Life and Retirement

    After failing to ascend to the top of American International Group Inc., Jay Wintrob is stepping down as chief executive of AIG Life and Retirement. Among his various responsibilities, Mr. Wintrob supervised Erica McGinnis, who a year ago become the CEO of the AIG Advisor Group network of

  8. Articles

    Schorsch's RCS buys majority stake in Docupace Technologies

    Company provides SEC- and Finra-compliant paperless processing systems to financial services firms.

  9. Articles

    LPL wants bigger voice in Washington

    The independent broker-dealer is set to open a public affairs office in the nation's capital in response to increased federal regulation.

  10. Articles

    Untangling Nicholas Schorsch's vast web of businesses

    The REIT czar's empire is broken down in this "simple" visual covering all entities under his purview

  11. Articles

    Looking for middle ground in a fiduciary solution

    Problems with one standard for brokers and advisers are voiced at a fiduciary summit.

  12. Articles

    Executives of defunct IBD hit with $1.05 million arbitration award

    Investors sued individuals after the firm, Allied Beacon Partners, ran out of capital and failed to pay earlier arb award.

  13. Articles

    State regulators on one-year deadline to revise broker-fee disclosures

    NASAA working group not going to draw conclusions about whether fees are too high, just how to make them more transparent.