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  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

    Brokerage industry sounds off about Finra broker compensation proposal

    Comment letters show independent B-Ds want no part of it, while wirehouses are all for it.

  1. Articles

    Quantity does not equal quality: Expanding 'disclosure events' on BrokerCheck a bad idea

    Brokerage industry is only one in which professionals as deemed guilty until proven innocent.

  2. Articles

    Ketchum calls controversial automatic data collection key to catching rogue brokers

    Exclusive: Having pulled back efforts to become the regulator for advisers, Finra CEO Ketchum has plans to discuss BrokerCheck at this month's board meeting.

  3. Articles

    J.P. Turner gussies up for Schorsch

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

  4. Articles

    Schorsch teeing up another possible broker-dealer acquisition

    Real estate tycoon's B-D has "exclusivity agreement" to negotiate with one firm, according to SEC filing.

  5. Articles

    Derek Bruton: I'll be back

    Derek Bruton, the executive in charge of the 13,600 representatives and financial advisers at LPL Financial, who resigned from the firm abruptly last week, said he is taking time off “to recharge the batteries and spend time with the family.” In an e-mail, Mr. Bruton said he expects to be back. “I

  6. Articles

    Finra reviews effectiveness of broker-dealer rules

    Tackles broker communications with the public as well as gifts, gratuities and non-cash payments; will look at other regulations.

  7. 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

  8. Articles

    Account opening is No. 1 tech concern: Survey

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

  9. 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

  10. Articles

    BrokerCheckmate: Finra marks wave big red flag

    Bruce Kelly reports about Meyers Associates, a small New York broker-dealer with five times the industry average of registered reps with marks, or 'disclosure events' on their record.

  11. Articles

    Trainee lawsuit could clip brokerages' ability to recoup costs

    A former Wells Fargo trainee has sued the firm, claiming that its effort to get back $50K in training costs violates labor law. If the claim sticks, brokers could have a tough time recouping such costs from ex-employees who leave firms early.

  12. Articles

    Muriel Siebert's discount brokerage is said to seek buyers

    Firm could fetch more than $50M from likes of E*Trade, TD Ameritrade, Scottrade.

  13. Articles

    Hey Janet, talk is cheap

    Breakfast with Benjamin: Markets don't buy the Fed chief's words. Plus: More data today, who's going after indie advisers, Apple's Pushmi-pullyu, Icahn's intentions, a headline says it all and the Madness begins.

  @IN Wire

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

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