Regional Brokerages

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  1. Articles

    Sterne Agee sues former CEO Holbrook

    After firing James Holbrook Jr. in May, the regional brokerage alleges the former chief executive used corporate credit cards for personal expenses and company resources on sporting events.

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    SEC investigating top Oppenheimer executive

    Firm's head of retail, Robert Okin, resigned last week. On his BrokerCheck page, he says that he "intends to vigorously defend himself if charges are filed."

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    Top independent adviser manages $3.5 billion in new ranking

    More than 20,000 independent RIAs in the U.S. increased assets 82% to $2.3 trillion from 2007 to 2013 while assets at largest retail brokerages rose 8.2% to $6.2 trillion.

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    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.

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    Ex-Raymond James adviser barred over $1 million theft

    Jo Ellen Fisher, an independent contractor with Raymond James Financial Services, allegedly stole $925,000 from a 95-year-old client to fund personal expenses, Finra says.

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    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.

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    Edward Jones sponsors college-credit course to prep students for Series 7 exam

    Course will be offered to financial and nonfinancial majors to offer them a taste of the advice profession.

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    Private client group gains drive Raymond James to record quarterly profit

    Raymond James Financial continued to build on momentum as pretax profit in the private client group hit a record in the firm's third fiscal quarter, jumping 39% as profit margins reached 10%. What's CEO Paul Reilly doing right?

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    Baird snatches Wells Fargo adviser with $350M in AUM

    Robert W. Baird & Co. Inc. has added a top broker from Wells Fargo and a new director to its Houston market.Gary Foose Jr. joins the firm as a director and financial adviser in Houston with $350 million in client assets and $1 million in annual production.“Gary's a high-integrity guy. He's been in

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    Ex-Sterne Agee broker faces expulsion over $6 million hedge fund

    Finra charges broker Dean Mustaphalli opened fund and received commissions without disclosing the business to his firm. Whether Sterne Agee clients were affected remains a mystery.

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    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.

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    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.

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    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

  12. Articles

    Sterne Agee wants to remove Holbrooks from board

    Schedules a shareholder vote, discloses ongoing investigations of former father-son executive team.

  13. Articles

    Sterne Agee's ousted CEO Holbrook said to face investigation

    Probe reportedly looking into misuse of company assets such as airplanes, boats, condos.