Independent Broker-Dealers

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  1. Articles

    Robert Moore jumps ship at LPL

    One-time heir apparent to Mark Casady to lead asset manager Legal & General Investment Management America, an institutional money manager.

  2. Articles

    The loudest shouldn't speak for everyone

    Time for advisers to tell industry groups pushing hard against a fiduciary rule that they're tired of the rhetoric — and that they're not acting in advisers' best interests.

  1. Articles

    Robert Benmosche remembered as tenacious, fair by colleagues

    Industry colleagues, from Hank Greenberg to Don Marron, recall the former MetLife, AIG CEO, who passed away at 70 Friday after a battle with cancer.

  2. Articles

    Inflated postage charges to clients continues to dog IBD

    Mid-sized independent broker-dealer Newbridge Securities Corp. recently agreed to pay $850,000 to settle a class action suit that alleged price gouging by the firm over what it charged clients for postage and handling of their securities transactions. The original complaint alleged that Newbridge

  3. Articles

    LPL shakes up Fortigent HNW consulting group

    Once restructuring is completed, the company expects $3 million in annual savings after taking $9 million charge to move Fortigent unit to corporate headquarters in Charlotte, N.C.

  4. Articles

    RCS Capital Corp. suffers big revenue hit in fourth quarter

    Fallout from ARCP hurt wholesaling unit but executives remain confident in recovery.

  5. Articles

    Vanguard finds another way to get its ETFs in your clients' hands

    With new presence in the ETF strategist game, Vanguard wins Envestnet, Cambridge and more retirement-plan business.

  6. Articles

    Stifel to acquire Sterne Agee for $150 million

    $150 million acquisition adds about 730 advisers and independent reps managing more than $20 billion in client assets to the St. Louis firm run by Ron Kruszewski.

  7. Articles

    Art Tambaro, former Royal Alliance chief, returns to the securities industry

    Longtime industry exec to use Cetera's First Allied as broker-dealer in setting up OSJ.

  8. Articles

    Transamerica Financial Advisors finally taps a CEO

    One of the primary architects of the brand's broker-dealer mergers, Seth Miller, to lead firm.

  9. Articles

    Raft of new annuity products has broker-dealers scrambling to train reps

    As new annuities gain in popularity, broker-dealers are getting reps up to speed on using them as part of a comprehensive retirement income plan.

  10. Articles

    In a twist, ex-Cabot Lodge compliance officer recants, says he was wrong

    Akerman apologizes to SEC for whistleblower allegations against the broker-dealer and CEO Frydman.

  11. Articles

    SEC's Gallagher slams White House fiduciary memo as 'propaganda'

    Commissioner says administration ignores industry's stiff oversight by market regulators.

  12. Articles

    Stifel deal for Sterne Agee would beef up IBD ranks

    A potential acquisition of Sterne Agee Group Inc. by Stifel Financial Corp. would greatly bolster Stifel's presence in the independent broker-dealer industry.Stifel has 1,943 employee reps and advisers in the in the traditional employee model of retail brokerage, but only 188 in the independent

  13. Articles

    LPL to cut bonuses to employees, top management

    Top executives at the firm are among those facing smaller bonuses after a year of discouraging financial results.