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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.
Independent broker/dealer Alternative Wealth Strategies in Cherry Hill, N.J., has gone belly up, according to Financial Industry Regulatory Authority documents. The firm’s BrokerCheck report says the firm’s membership was suspended at...
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....
