Valerie Brown, longtime head of Cetera Financial Group and its predecessor ING broker-dealers, has stepped down and is being replaced by Larry Roth.
There's hard evidence that he has been the architect behind Nick Schorsch's growing broker-dealer empire.
Inland Diversified Real Estate Trust has agreed to merge with a publicly traded REIT in a $2.1 billion all-stock deal. The transaction represents average annualized return of 8% for investors. Bruce Kelly reports.
Move is the latest in a series of management changes at Cetera Financial Group.
Former N.Y. governor David Paterson joins broker-dealer IFS Securities, where he will help develop new business opportunities for firm
In a head-turning move, newcomer to the independent broker-dealer industry Nicholas Schorsch is pulling off the largest independent-broker-dealer acquisition in years, with a cash deal to buy Cetera Financial Group.
Regulator said IBD didn't adequately train or supervise brokers selling alternative investments and nontraditional ETFs .
Bringing light and due diligence should be a priority for the investment advice industry.
Revives proposal that would require brokerages to link to regulator's database, including disciplinary background info.
Plans to help Edgerton & Weaver, which specializes in representing B-Ds, RIAs and registered reps, build its consulting business.
One of Nicholas Schorsch's RCS Capital broker-dealer subsidiaries has an analyst questioning its future management structure after a change in the B-D's leadership.
The firm picked up a father-son team of Michael and Benjamin Cohen who previously generated $4.2 million in production at J.P. Morgan Securities.
Switching firms 10 years before you expect to leave the industry can provide an extra windfall – if done correctly
After a mostly frigid 2013 for recruiting from wirehouse brokerages, agents responsible for selling those brokers on the benefits of free agency are cautiously optimistic that a thaw has finally set in.
Adviser Stephen Besse will be part of the firm's presence in northern California.
The number of arbitration cases brought before Finra was up 10% in the first quarter over a year ago and the proportion of cases resulting in damages being awarded was also up. At least one factor has emerged as the main culprit.
Industry vet says the future lies in retail, with baby boomers retiring and workers being moved to defined contribution plans away from pensions.
<i>InvestmentNews</i> senior columnist Bruce Kelly discusses whether these firms can continue their 2013 run
