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Four years ago, Abacus Planning Group, a 13-year old $700 million wealth management firm in Columbia, S.C., was growing at a good clip, gaining both clients and assets. But Cheryl Holland, president and founder of the firm, and a 25-year industry...
The independent broker/dealer landscape is lately littered with tales of woe—scores of smaller firms have gone up in a puff of smoke over the past two years due to everything from troubled private placements to insufficient net capital. In...
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.
The first domino in this cascade of disaster fell on Sept. 17, 2008, when an unidentified Merrill Lynch registered representative received an email customer complaint. It said that the representative had entered an unauthorized order for Fannie...
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.