Erica McGinnis, senior vice president of compliance and supervision at Advisor Group, kicked off the group’s Women’s Conference in Los Angeles Monday morning talking about being a working mother.
Americans do not think God would do a great job of managing their money. Given a choice, they would rather get financial advice from The Donald than take it from the Bible, according to research released Wednesday that was conducted by Harris...
Finding and keeping quality interns can be a difficult task. But interns can increase the talent in your workforce pool, provide existing reps with leadership and management experience, and create a future supervisor structure and succession...
Understanding the rules of investing can be a daunting task for clients, but some new data by Charles Schwab released today suggests the confusion may run deeper than you’d think.
AIG Advisor Group is in talks with a few mid-sized broker/dealers and larger offices of supervisory jurisdiction (OSJs), and hopes to make one or more acquisitions in the near future.
Jordan Waxman can handle the Ironman—he’s planning to run his fifth and sixth triathalons this year—but he couldn’t handle Bank of America bureaucracy.
When LPL Financial, a self-clearing independent broker/dealer, rolled Pacific Life's broker/dealers onto its self-clearing platform in 2009, many advisors protested. But for Jennifer Tanck, president of Independent Financial Partners, an LPL...
Independent broker-dealer WFP Securities went out of business fighting claims they put clients into risky private placements and non-traded REITS. Yesterday, they got a bit back.
Five years after blowing up his firm in the mortgage crisis, Stanley Brooks was ordered to pay the maximum penalty of $10 million for fraud charges by a federal judge in Los Angeles.
