by
Jacqueline Sergeant
Two-fifths of brokers considering breaking away say they will likely move to a new firm in the next year.
by
Jacqueline Sergeant
Venture Visionary Partners, based in Toledo, Ohio, is headed by former UBS broker Craig Findley.
by
Tracey Longo
The nation's largest independent broker-dealer also failed to timely report customer complaints and other events, regulators said.
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Tracey Longo
The long-shot House amendment would stop the SEC from enforcing its new conduct rules for brokers and advisors.
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Tracey Longo
Spire Securities' CEO said he was "outraged" by the Finra award, contending the broker left the firm before defrauding investors.
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Tracey Longo
Experts expect new broker-dealer campaigns to aggressively target advisory clients.
by
Christopher Robbins
Offering financial planning is not going to win or retain clients as the industry shifts, he said.
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Tracey Longo
The SEC failed to protect investors with the rules it adopted this month, Secretary of State William Galvin said.
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Tracey Longo
The state's impending rule to impose a fiduciary standard on brokers would harm Main Street investors, the group argued.
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Tracey Longo
Experts worry SEC’s “best interest” boilerplate makes RIAs and brokers look identical.
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Dan Jamieson
TD Ameritrade executives said they're concerned about facing 52 different standards for advisors and brokers.
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Tracey Longo
While B-Ds celebrate the new rule, IAA is concerned it could blur the lines between investment advisors and brokers.
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Tracey Longo
The ruling broadens the ability of brokers to offer investment advice without registering as RIAs.
by
Bob Van Voris
The lawsuit alleges he was excluded from a call with a Goldman client because “he sounded too gay.”
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Robert Schmidt, Ben Bain
But the securities industry and consumer advocates remain sharply divided over what it will mean for investors.
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Dan Jamieson
The rule could cause confusion among investors about the roles of brokers and RIAs, company executives said.
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Joyce Blay
The team will operate as Sisk & Marvel Investment Group of Raymond James in Richmond, Va.
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Joyce Blay
Financial advisors William “Rusty” Seyle and Tim Hickey of Allentown, Penn., are leaving Merrill Lynch, where they managed approximately $1 billion in client assets and had $3...
