For many years, Registered Rep. has conducted a survey of wirehouse advisors that asks them to rate their firms on various service and business metrics. During that time, we have received numerous requests to offer the same opportunity to...
Mark Schlafly, president and CEO of FSC Securities, has suddenly resigned from his position at the AIG Advisor Group broker-dealer because of a family medical emergency, an industry source familiar with the situation told Registered Rep.
Securities America met with plaintiff’s attorneys on Thursday to negotiate a resolution to investor claims against the company related to its sale of allegedly fraudulent private placements. The outcome of the mediation was unknown at press...
Just two months after it announced the acquisition of three RIAs with $2.2 billion in combined assets, United Capital said today it has bought another practice, Vantage Point Advisors.
