Independent Broker-Dealers

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  1. Articles

    Schorsch adds industry veteran Dwyer to RCAP's team

    Former executive at LPL Financial will head up firm's nontraded REIT wholesaling and distribution unit.

  2. Articles

    Ladenburg Thalmann to buy Securities Service Network for $45M

    Cash and stock deal values the firm, with about 450 independent reps and advisers, at 39.4%, lower than other recent deals.

  1. Articles

    Jay Wintrob resigns as CEO of AIG Life and Retirement

    After failing to ascend to the top of American International Group Inc., Jay Wintrob is stepping down as chief executive of AIG Life and Retirement. Among his various responsibilities, Mr. Wintrob supervised Erica McGinnis, who a year ago become the CEO of the AIG Advisor Group network of

  2. Articles

    Schorsch's RCS buys majority stake in Docupace Technologies

    Company provides SEC- and Finra-compliant paperless processing systems to financial services firms.

  3. Articles

    LPL wants bigger voice in Washington

    The independent broker-dealer is set to open a public affairs office in the nation's capital in response to increased federal regulation.

  4. Articles

    Untangling Nicholas Schorsch's vast web of businesses

    The REIT czar's empire is broken down in this "simple" visual covering all entities under his purview

  5. Articles

    Executives of defunct IBD hit with $1.05 million arbitration award

    Investors sued individuals after the firm, Allied Beacon Partners, ran out of capital and failed to pay earlier arb award.

  6. Articles

    The latest data on technology at independent broker-dealers

    A snapshot of tech spending and usage at IBDs

  7. Articles

    Nontraded REIT guidelines too late for some clients

    State securities regulators are making noise about implementing changes to policies that would limit how much a client's net worth could be invested in nontraded real estate investment trusts. Those limits would have helped clients in the case of a Louisiana broker who now has a Finra complaint.

  8. Articles

    New broker working group aims for easy-to-read fee disclosure

    NASAA report on hidden and complicated fee disclosures sparks drive for simple, uniform language.

  9. Articles

    What IBD consolidation means for advisers

    With high M&A deal pace set to continue, here's how the most common deal structures could affect advisers

  10. Articles

    Helping advisers unlock their full value

    "Time is precious. So it is important to lead a meaningful life." This lesson was delivered with tremendous power to over 5,200 attendees at our firm's annual focus 2014 conference, held recently in San Diego for our clients, sponsors, employees and guests. The messengers on this occasion were Bob

  11. Articles

    RCAP to continue clearing with Pershing

    B-D says new deal will result in cost savings comparable to what it would have realized had it moved clearing in house.

  12. Articles

    SEC takes a hard stance on soft dollar abuses

    The SEC recently announced sanctions against a broker-dealer in New York for ignoring red flags and making improper soft dollar payments to a San Diego-based registered investment adviser. The broker-dealer paid more than $400,000 to the RIA, even though the advisory firm failed to make full ...

  13. Articles

    Second-quarter nonlisted REIT review

    While certain recently closed nonlisted REITs, such as Industrial Income, Griffin-American Healthcare REIT II, Cole Credit Property Trust IV and Corporate Property Associates 17 Global have shown strong operating performance throughout their history, the majority of closed nonlisted REITs have seen