Broker-Dealers

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  1. Articles

    Closed nonlisted REITs still suffering financial crisis hangover

    While certain recently closed nonlisted REITs, such as Industrial Income, Griffin-American Healthcare REIT II, Cole Credit Property Trust IV and Corporate Property Associates 17 Global have shown strong operating performance throughout their history, the majority of closed nonlisted REITs have seen

  2. Articles

    Nonlisted REITs ranked by 2Q invested assets

    Company2Q invested assets ($M)Original share priceCurrent share value1Original distribution rateCurrent distribution rate2Q14 FFO 2 payout ratioInland American Real Estate Trust$10,128.5 $10 $6.94 6.20%5.00%75%Corporate Property Associates 17 Global$4,564.7 $10 $9.50 6.50%6.50%81%Apple ...

  1. Articles

    Possible fee refunds for poor performance spur debate

    Offering refunds on managed-account fees when portfolios lose value grabbed readers' attention this week in the wake of news that TD Ameritrade Inc.'s retail advisory service had gotten the green light to pursue this approach. The hot-button issue drew strong reactions, though it wasn't the first

  2. Articles

    Morgan Stanley dodges $15 million raiding claim

    Charles Scwab's $15 million arbitration claim against Morgan Stanley for hiring brokers from its San Francisco office was rejected.

  3. Articles

    What grabbed InvestmentNews readers this week

    A big arbitration award, a story about recruiting bonuses and how Vanguard grabbed Pimco's bond crown were among the most read stories this week on InvestmentNews.com. Plus: Lessons from Robin Williams' estate and another investment team loss at LPL.

  4. Articles

    BofA settlement comes back to bite homeowners

    On today's Breakfast with Benjamin menu: BofA settlement bites homeowners. Plus: Warren Buffett feels compliance pain; a mortgage shop tries financial advice; fewer stocks participating in the bull market run; and stocks that could benefit from the ALS ice-bucket challenge.

  5. Articles

    NFP scores big with Financial Telesis recruits who forgo signing on with LPL

    NFP Advisor Services chief James Poer says firm is adding 53 advisers and roughly $30 million in revenue, mostly from Financial Telesis.

  6. Articles

    Audit deficiencies could lead to higher regulatory costs for B-Ds

    Broker-dealers will need to be more selective in finding an auditor who knows the industry.

  7. Articles

    $450 million hybrid RIA network launches with LPL

    Financial Advocacy Network, a collective of 13 advisers with $450 million in assets, is hoping to grow to $1 billion in five years

  8. Articles

    LPL losing another top member of investment management team

    LPL Financial is losing another key member of its investment management roster. Scott Welch, co-founder and chief investment officer of high-net-worth adviser and consultant Fortigent, will leave the firm. Fortigent is a wholly owned subsidiary of LPL Investment Holdings Inc.Word of Mr. Welch's

  9. Articles

    Finra accuses indie B-D of falling down on anti-money laundering supervision requirements

    Aegis Capital is accused of facilitating an alleged penny stock scheme that generated $24.5 million in profits for clients and $1.1 million in commissions for the firm.

  10. Articles

    LPL's chief investment officer reads market tea leaves

    Burt White is sticking to his previous call that stocks will produce 10% gains in 2014, with room potentially to move slightly higher.

  11. Articles

    Adviser movement heats up the dog days of summer

    This week's top InvestmentNews stories feature an LPL exec's exit, potential pitfalls for brokers changing jobs, a flurry of adviser moves and a high-profile lesson in trust planning.

  12. Articles

    Financial Telesis adviser with $700M bolts to Commonwealth

    A Financial Telesis Inc. adviser with $700 million in assets under management has bucked LPL Financial's recruiting and signed on with Commonwealth Financial Network.Benjamin W. Wong, who runs an eponymous financial planning firm in Pleasanton, Calif., has joined the custody and clearing firm with

  13. Articles

    Schorsch picks up yet another midsize IBD

    Nicholas Schorsch continues to add midsize independent broker-dealers to the Cetera Financial Group Network, and on Wednesday night announced plans to acquire Girard Securities Inc.