Broker-Dealers

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  1. Articles

    LPL weathers flat quarter on higher revenue

    LPL Financial posted strong revenue growth, but profit declined slightly, as the firm encountered higher expenses in the first quarter. The firm remained above the $1 billion revenue mark, bringing in $1.08 billion for the quarter, up from $975,000 in the year-earlier quarter, but earnings fell

  2. Articles

    Financial industry groups oppose adding exam scores to BrokerCheck

    Both SIFMA and FSI cautious about Finra proposal to strengthen its database.

  1. Articles

    Finra sees uptick in arbitration cases filed in first quarter

    The number of arbitration cases brought before Finra was up 10% in the first quarter over a year ago and the proportion of cases resulting in damages being awarded was also up. At least one factor has emerged as the main culprit.

  2. Articles

    Larry Roth's doing a lot more than selling nontraded REITs

    There's hard evidence that he has been the architect behind Nick Schorsch's growing broker-dealer empire.

  3. Articles

    LPL Financial names William Morrissey to replace Derek Bruton

    William Morrissey, a 10-year company vet responsible for recruiting new advisers and their practices, was appointed head of LPL Financial's Independent Advisor Services unit, replacing Derek Bruton.

  4. Articles

    A better TIC?

    Newfangled private placements called DSTs offer some improvements to TICs, many of which backfired during the financial crisis, but DSTs still carry high costs and are illiquid. Bruce Kelly has the story.

  5. Articles

    Sterne Agee Group in deal to acquire midsize independent broker-dealer WRP Investments

    Match 'made in heaven' says president of WRP, which has 350 reps and had $48 million in gross revenue in '13.

  6. Articles

    J.P. Turner gussies up for Schorsch

    Independent B-D spends $8.8 million to resolve litigation prior to acquisition by RCS Capital.

  7. Articles

    Raymond James nets $640 million J.P. Morgan duo

    The firm picked up a father-son team of Michael and Benjamin Cohen who previously generated $4.2 million in production at J.P. Morgan Securities.

  8. Articles

    John Hancock B-D to terminate health and insurance benefits

    Registered representatives at Signator Investors Inc., John Hancock's broker-dealer, received some dismaying news on Tuesday: The firm will be terminating its health and insurance benefits and will freeze its retirement benefits plan at the end of the year. Effective Jan. 1, 2015, the firm will

  9. Articles

    Former Vermont securities director joins LPL as a compliance officer

    John Cronin will oversee supervisors in the Northeast; 'it's like hiring an IRS guy to be your CPA.'

  10. Articles

    How to explain your transition package to clients

    After working with thousands of reps over the years, I don't believe this new regulation will deter unhappy financial advisers from moving to firms offering more opportunities for growth.

  11. Articles

    Berthel Fisher has new lease on life

    Since the credit crisis, the financial advice industry has been littered with the dead shells of IBDs that sold fraudulent private placements before the crash. Berthel Fisher has survived. Bruce Kelly has the story.

  12. Articles

    Account opening is No. 1 tech concern: Survey

    Beacon finds 'client onboarding' has replaced social-media archiving as brokers' biggest technology challenge.

  13. Articles

    Infographic: Meyers Associates' Finra BrokerCheck records

    Last Friday, senior columnist Bruce Kelly reported on Meyers Associates, a firm that stands out for all the wrong reasons. InvestmentNews reviewed Finra records of 75 Meyers Associates brokers, and found that the percentage of registered representatives with a disclosure event is an astounding five

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Mar 07 10:29PM
10 professions that need the most coffee to survive - I Love Coffee http://t.co/3XfZW17f0c
Mar 07 10:00PM
"J.P. Morgan Securities goes on recruiting offensive" http://t.co/Ag4rX0oR04 good read

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