Independent Broker-Dealers

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  1. Articles

    National Planning Holdings puts kibosh on ARC nontraded REIT sales

    After Nicholas Schorsch's giant traded REIT, American Realty Capital Properties, revealed a big accounting debacle, one large broker-dealer network temporarily put a stop to sales of one of Mr. Schorsch's nontraded REITs.

  2. Articles

    LPL's former star adviser finds a home

    James “Jeb” Bashaw is now registered with small broker-dealer International Assets Advisory.

  1. Articles

    CEO Mark Casady apologizes to LPL Financial shareholders for compliance missteps

    Mark Casady apologizes to LPL Financial shareholders for compliance missteps as company takes hit to third-quarter profits. (See also: LPL's regulatory hit list)

  2. Articles

    Two big developments in retirement planning grab advisers' attention

    Social Security and annuities make news, LPL's regulatory headaches continue, and the rest of this week's must-read stories for advisers.

  3. Articles

    Spike in Finra, SEC regulation leaves star brokers exposed

    Long treated with kid gloves, big producers now face questions about alleged violations.

  4. Articles

    Analysts question whether LPL is out of the regulatory woods

    Analysts are unnerved by LPL Financial's inability to close the cash register on regulatory charges after CEO Mark Casady said compliance failures could cost $23 million in the third quarter.

  5. Articles

    Wunderlich and fired LPL broker part ways

    Former star LPL broker and Houston branch manager James "Jeb" Bashaw is no longer joining Wunderlich Securities, and is also fighting back against LPL's allegations.

  6. Articles

    LPL cuts profit forecast to cover higher-than-expected regulatory costs

    LPL Financial cuts 11 cents a share from its third-quarter earnings forecast after projecting it will need another $18 million to satisfy regulatory concerns.

  7. Articles

    The regulatory hits keep coming for LPL Financial

    The rest of this week's must-read stories include Betterment's robo-adviser for humans, big changes afoot in Social Security, and a focus on picking the right alternatives for clients

  8. Articles

    Reps selling nontraded REITs could be swimming in liquidity

    Up to $13.6 billion in fresh equity expected to flow from listings, mergers and special distributions.

  9. Articles

    Finra sues B-D owner for improper marketing of unregistered securities

    Bruce Meyers allegedly inappropriately pushed an offering for a pharmaceutical company he co-owns.

  10. Articles

    LPL Financial agrees to pay $541,000 for faulty variable annuities switches in Massachusetts

    Massachusetts Commonwealth Secretary William Galvin announces payment to reimburse senior citizens for surrender charges paid when switching variable annuities.

  11. Articles

    Selling away claims behind LPL's termination of James "Jeb" Bashaw

    Selling away is just one of the allegations that felled James “Jeb” Bashaw, LPL's former Houston branch manager.

  12. Articles

    Regional broker-dealers need creativity to keep up in the recruiting arms race

    With deep pockets aggressively recruiting assets tied to teams, advisers need to remember why they are paid bonuses in the first place.

  13. Articles

    Two high-profile adviser terminations take center stage

    This week's must-read stories for advisers include employment drama at LPL and Merrill, Bill Gross speaking out, and a renewed push for more women in advice.