Broker-Dealers

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  1. Articles

    Schorsch accused of manipulating ARCP books: Suit

    American Realty Capital Properties Inc.'s former chief accounting officer alleges the ex-chairman ordered numbers to be changed.

  2. Articles

    Top five growing concerns for advisers in 2015

    Financial advisers serious about growing their businesses in 2015 seem to be voicing similar concerns in our discussions.

  1. Articles

    The new variable and indexed annuity leaders

    Indexed annuities continue to be popular, and Jackson National continues to dominate VA sales.

  2. Articles

    Alternatives offer money managers a profitable lifeline

    Low-cost index funds capturing 25% of new assets but drive just 5% of revenue.

  3. Articles

    Top Jackson National exec Clifford Jack to step down

    Mr. Jack helped build the insurer's variable annuities business and independent broker-dealer network.

  4. Articles

    Wedbush founder faces bigger penalty, suspension after losing appeal

    A review board denies the 82-year-old founder and president of Wedbush Securities' appeal and issues harsher sanctions, increasing the scope of the original suspension and doubling the fine for reporting violations.

  5. Articles

    Citigroup dealt second fine for prospectus lapses

    Finra said the firm failed to deliver documents after ETFs were purchased by clients.

  6. Articles

    Schorsch exits key company that was part of his REIT empire

    The REIT czar resigned from American Realty Capital Properties, which has lost more than a quarter of its value since disclosing accounting errors.

  7. Articles

    An alternative oil investment that hinges on infrastructure needs

    The sharp decrease in oil prices over the past six months undoubtedly has pained advisers and investors interested in the energy sector. Oil prices dropped sharply last week, reaching five-year lows. For the first time since July 2009, the price of benchmark U.S. oil fell below $61 a barrel. But

  8. Articles

    After hearing from member firms, Finra considers revising communications, gift rules

    Broker-dealer regulator promises to modify rules after survey identifies 'pain points'.

  9. Articles

    Fidelity's clearing arm restores processing some Schorsch-related nontraded REITs

    National Financial Services, the clearing arm of Fidelity Investments, told its broker-dealer correspondents that, effective Monday, it was facilitating new purchases for 12 nontraded REITs and business development companies under the American Realty Capital brand along with other brands

  10. Articles

    Top independent adviser manages $3.5 billion in new ranking

    More than 20,000 independent RIAs in the U.S. increased assets 82% to $2.3 trillion from 2007 to 2013 while assets at largest retail brokerages rose 8.2% to $6.2 trillion.

  11. Articles

    Next Financial Holdings' D'Angelo resigns as CEO, chairman

    One of the firm's six original principals, he will remain as a corporate director.

  12. Articles

    Schorsch's RCS Capital, American Realty Capital Properties, bury hatchet in $60 million settlement

    Two companies in Nicholas Schorsch's REIT empire have settled their dispute as RCS Capital Corp. agrees to pay American Realty Capital Properties to back out of its deal to buy Cole Capital.

  13. Articles

    Oil producers are feeling the heat from falling prices

    On today's Breakfast with Benjamin menu, some oil producers have a lot to lose from cheap oil. Plus: Merrill brokers are heading for greener pastures, activist investors are taking over, and tune up your holiday tipping practices.