Independent Broker-Dealers

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  1. Articles

    Securities America buying insurance-based B-D

    Sunset Financial Services has 268 affiliated reps and $2.4 billion in client assets.

  2. Articles

    Thompson's former nontraded REIT drops nearly 30%

    Investors in a nontraded REIT launched by Tony Thompson, the one-time noted real estate sponsor, were told last week that the net asset value of the REIT had eroded by nearly 30%.

  1. Articles

    Penny stock bust includes ex-husband of 'Sopranos' star

    One of those arrested, Abraxas 'A.J.” Discala, was married to Jamie-Lynn Sigler

  2. Articles

    Merrill Lynch team with $592M in assets moves to LPL

    A team of six Merrill Lynch Wealth Management financial advisers, now known as IHT Wealth Management, has joined LPL's broker-dealer and hybrid RIA platform in downtown Chicago. The six advisers — Steven Dudash, Alex Papadopoulos, Orlando Ochoa, Ryan Wittig, Peter Arboleda and Scott Staley —

  3. Articles

    Liquidity events heating up REIT market this summer

    Liquidity events of nontraded real estate investment trusts are heating up during the dog days of summer. This month already has seen one liquidity event — meaning a merger or a listing on an exchange; while a significant nontraded health care REIT is reportedly in talks to be acquired.July has

  4. Articles

    Finra asks for delay in implementing rule affecting nontraded REIT customer statements

    Changes would not take effect until 18 months after SEC signs off, three times longer than originally proposed.

  5. Articles

    LPL losing a top recruiter

    LPL is losing one of its leading recruiters, in the wake of three other recruiters resigning in the past year and a half.

  6. Articles

    As economy improves, veteran advisers stay put

    Strong market performance keeps most clients and advisers in place. Check out our database to see who's moving where.

  7. Articles

    Opinions on bull market split following most recent run-up

    After the S&P 500 reaches new heights, new questions surface on whether the market is headed up or down.

  8. Articles

    Investors Capital shareholders back Schorsch's RCS Capital merger

    Investors Capital Holdings Ltd. said Tuesday its shareholders had approved the terms of the merger with RCS Capital Corp., best known by its ticker symbol RCAP. Announced last October, the deal is scheduled to close on Friday, Investors Capital said in a statement Tuesday. Buying Investors Capital

  9. Articles

    Securities America buying Dalton Strategic Investment Services

    Trend of small and midsize broker-dealer mergers and acquisitions continues to build.

  10. Articles

    Sterne Agee confirms CEO was fired after investigation report

    Sterne Agee Group Inc. on Monday confirmed that the decision to fire its former chief executive, James S. Holbrook, came after the firm was notified by federal investigators that he was the target of an investigation. “The firm was notified that Mr. Holbrook is the subject of an investigation” by

  11. Articles

    LPL acquiring retirement plan broker-dealer

    LPL gets back in the broker-dealer M&A hunt, adding to their retirement arm via Financial Telesis' 470 reps and RIA.

  12. Articles

    Why some brokers stand by commissions

    Some brokers say the math in moving to a fee-based model just doesn't add up for clients.

  13. Articles

    Indie reps happier at work than employee advisers: J.D. Power

    Independent advisers continue to be happier at work than their colleagues who are employees of broker-dealers but the gap in job satisfaction among the two groups is narrowing. See how your firm ranks

  @IN Wire

Jul 22 09:31AM
HighTower nabs top FiNet recruiter via @newsfromIN
Jul 22 09:30AM
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