Regional Brokerages

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  1. Articles

    Raymond James reports strong quarter in private-client group

    Raymond James Financial Inc. reported record revenue and pretax income in its private-client group for its fiscal second quarter that ended in March. Net revenue for the quarter reached $812.2 million, up 12% from the prior year's second quarter, and 5% from the quarter ended in December. Pretax

  2. Articles

    Sterne Agee Group in deal to acquire midsize independent broker-dealer WRP Investments

    Match 'made in heaven' says president of WRP, which has 350 reps and had $48 million in gross revenue in '13.

  1. Articles

    Account opening is No. 1 tech concern: Survey

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

  2. Articles

    Newborn Lebenthal RIA triples its assets but expects more to come

    Lebenthal Holdings stands to triple the size of its new wealth management unit with the acquisition of the business of two Morgan Stanley brokers. But that's just the beginning, if CEO Frank Campanale has his way.

  3. Articles

    Where your young boomers prospects are going for advice

    Investors across all wealth tiers are more accepting of online advice models, such as self-directed platforms, Cerulli reports.

  4. Articles

    Woodbury Financial Services promotes Rick Fergesen to president and CEO

    Broker-dealer had sought a new chief since Pat McEvoy resigned in December.

  5. Articles

    Edward Jones settles cold-calling case for $750,000

    The New Hampshire Bureau of Securities Regulation accused the firm of unlawfully soliciting clients on do-not-call lists

  6. Articles

    A whirlwind week of conferences

    I definitely earned my frequent flyer miles last week. On Monday, I made my way down to our nation's icy capital to attend the Financial Services Institute Inc.'s big gathering of independent broker-dealers and financial advisers. As usual, the annual conference, dubbed OneVoice 2014, was a ...

  7. Articles

    Edward Jones revamps recruiting to focus on wirehouses

    Almost 20% of the 695 advisers who joined the firm last year came from big Wall Street firms. How long will this strategy work?

  8. Articles

    Southwest Securities could be sold to big shareholder

    The parent company of Southwest Securities, SWS Group, received $7-a-share offer from Hilltop Holdings. The offer was a 16% premium to the stock's closing price on Thursday. Bruce Kelly has the story.

  9. Articles

    Finra fines Stifel, Century Securities $1M on complex ETFs

    Stifel, subsidiary broker-dealer agree to pay fines and restitution for sales of nontraditional funds.

  10. Articles

    J.P. Turner must pay more than $700,000 in restitution to clients

    Finra on Wednesday ordered midsize independent broker-dealer J.P Turner & Co. to pay more than $700,000 in restitution to clients who complained about unsuitable sales of leveraged and inverse exchange-traded funds and excessive mutual fund switching by one registered representative.

  11. Articles

    Finra board eyes raising arb fees to increase arbitrator pay

    Finra is considering raising the fees related to pursuing an arbitration claim against a brokerage firm in order to increase the pay for people who hear the cases.

  12. Articles

    Prepping Janet Yellen for the hot seat

    Plus: Elizabeth Warren vs. Wall Street, emerging markets see downside of credit boom, and the realities of alternative energy investments. All in Breakfast with Benjamin.

  13. Articles

    Adviser channel migration trends

    A look at the top B-Ds by percentage of advisers that rate a 'strong likelihood' to consider joining, plus net change in AUM at each B-D.

  @IN Wire

Mar 07 10:29PM
10 professions that need the most coffee to survive - I Love Coffee http://t.co/3XfZW17f0c
Mar 07 10:00PM
"J.P. Morgan Securities goes on recruiting offensive" http://t.co/Ag4rX0oR04 good read

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