Public pressure on Finra's expungement process has arbitrators thinking twice about erasing disclosure events, attorneys on both sides agree.
It's important for advisers to not show surprise or resentment when fee questions are raised by clients.
$52.5 million cash and stock deal scheduled to close on Friday.
Trend of small and midsize broker-dealer mergers and acquisitions continues to build.
The broker-dealer saw its shares dip again on Thursday after it lowered the price of its secondary offering. That follows a 37% decline in the company's share price in the past month. Investors, however, could stand to benefit. Bruce Kelly has the story.
Between <a href="http://www.investmentnews.com/article/20140529/FREE/140529913">RCAP's stock offering</a> and real estate firm's executive comp plan, Nicholas Schorsch and his team could enjoy a multimillion-dollar payday.
A deal, which would combine two of the biggest U.S. brokerages outside of New York, could be announced within days, according to a person with direct knowledge of the matter.
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?
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.
Patricia Miller promised clients high yields if they went into “investment clubs.”
Thirty-one of 37 brokers at IAA Financial, partly owned by Finra board small firm rep Kevin Carreno, came from firms Finra had expelled.
After the S&P 500 reaches new heights, new questions surface on whether the market is headed up or down.
The fastest-growing and most profitable firms often take unconventional approaches to their business models. To see how your firm stands up, <a href="http://www.investmentnews.com/2014fp">take part in this year's study</a>.
Checks on sponsor companies and protection for investors and advisers is welcome, but statement reporting adds more confusion than clarity
Course will be offered to financial and nonfinancial majors to offer them a taste of the advice profession.
Some brokers say the math in moving to a fee-based model just doesn't add up for clients.
After severe weather crimped its recruiting efforts over the winter, LPL Financial says it's seeing a return to normal levels of adviser movement but that the once-hot nontraded REIT market is cooling off.
Independent broker-dealer plans to invest $150 million, add 2,000 jobs in region
HighTower chief executive Elliott Weissbluth says adding new platforms will help the firm achieve a business model and scale comparable to that of Raymond James. Mason Braswell has the story.
