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Are you considering doing a deal, purchasing a broker/dealer? There are tons of regulatory issues to consider.

Ladenburg Thalmann, parent company of Triad Advisors and Investacorp, has emerged as a potential buyer of Securities America, which Ameriprise Financial (NYSE: AMP) announced plans to sell in late April, according to several industry sources. One...

Morgan Keegan may soon be for sale after agreeing to a $210 million settlement with federal, state and industry regulators over issues related to subprime mortgage-backed securities.

Financial plans are considered a wise investment for households, but can they save the national economy? A survey commissioned by the Certified Financial Planner Board of Standards suggests maybe.

Financial advisors are considered an optimistic, if cranky, lot in the aggregate, but that sentiment was put to the test this week by bond guru William Gross, the keynote speaker at the annual Morningstar Investment Conference in Chicago this week...

Independent broker/dealer network Advisor Group is talking to a number of small and mid-sized broker/dealers that the company would consider purchasing, said Larry Roth, president and CEO of Advisor Group, which includes IBDs FSC Securities Corp....

Women are starting to trip up the rungs of rich lists—one of the last holdouts of male economic dominance, says the Wall Street Journal's wealth report.