Broker-Dealers

  1. All
  2. Articles
  3. White Papers

Watch breaking news videos and read news updates about Broker-Dealers on investmentnews.com

  1. Articles

    Accounting fiasco highlights tangled web behind Nicholas Schorsch's empire

    In the wake of accounting problems at American Realty Capital Properties Inc., the rest of Nicholas Schorsch's empire has drawn scrutiny for its complexity.

  2. Articles

    The economic immigration issue President Obama isn't ready to talk about

    On Friday's Breakfast with Benjamin, the immigration issue President Obama isn't ready to talk about. Plus: Morgan Stanley's wealth management riddle, chilly weather heats up commodities, and an honest look at Wall Street's culture of dishonesty.

  1. Articles

    SEC keeps fiduciary promises vague for 2015

    Agency's annual report reveals higher percentage of adviser exams, and priorities for next year.

  2. Articles

    SAC Capital's Steven Cohen increases stake in RCAP

    Billionaire's family office is boosting its holding in RCS Capital Corp. to 5%, according to regulatory filings.

  3. Articles

    Nicholas Schorsch's RCS Capital could be facing major changes

    RCAP may remake itself to boost value with stock down 39% since late October

  4. Articles

    James Lebenthal, who sold muni bonds to masses, dies at 86

    Through ads, many of which he starred in, the salesman shared his belief that tax-free bonds were a sound investment.

  5. Articles

    RCAP sales slow down in wake of ARCP accounting fiasco

    RCAP sales slow down in wake of ARCP accounting error, although the firm is optimistic activity will return as B-Ds resume selling its nontraded real estate investment trusts.

  6. Articles

    Fidelity, Pershing, Schwab join suspension of Schorsch REITs

    The clearing and custody giants have followed B-Ds by suspending sales of nontraded REITs controlled by Nicholas Schorsch, presenting another potential blow to the real estate czar's business.

  7. Articles

    JPMorgan unwinds B-D clearing biz

    Fidelity Investments stands to reap the benefits as JPMorgan Chase & Co. unwinds its legacy Bear Stearns broker-dealer services clearing and custody unit.JPMorgan said it had chosen Fidelity's National Financial Services unit as the “preferred clearing provider” for its broker-dealer customers and

  8. Articles

    LPL picks up $520 million hybrid firm from Wells Fargo

    Goss Wealth Management switched firms as it hopes to build out a 'wirehouse lite” in the Gulf South region

  9. Articles

    Broker-dealers slap a stop order on Nicholas Schorsch's REITs

    B-Ds halting sales of Schorsch's REITs include some of the largest and most influential in the industry

  10. Articles

    Brokerage firms and mutual fund companies need better training for complex products

    Companies must heed the gentle warnings being given to them by Finra and the SEC on complex investments.

  11. Articles

    Massachusetts regulator Galvin investigating Schorsch B-D

    Massachusetts regulator has launched an investigation into Realty Capital Securities, the wholesaling broker-dealer arm of Nicholas Schorsch's nontraded REIT empire. (Also: Schorsch remains confident in his empire)

  12. Articles

    Cambridge joins list of IBDs suspending sale of Schorsch REITs

    Cambridge joins list of independent broker-dealers suspending sales of Cole REITs; firm says it is waiting for 'more clarity' before deciding next step.

  13. Articles

    Bernie Clark's call to action: Advisers must make industry friendly to the young

    As retirees draw down assets, advisers must hire minorities and women to capture future wealth.