Young Investors Don’t Want Advisors Who ‘Mirror Them’: Securities America
Gen X and Gen Y want experienced financial advisors and are willing to work with their parents’ FAs, the IBD said at its conference.
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Securities America Settlement May Speed Up Its Sale
A judge gives final approval of an $80 million class-action settlement; other suits could still emerge, experts say
Few Buyers for Exiting Broker-Dealers
While rumors persist about possible suitors for Securities America, Morgan Keegan and other broker-dealers on the market, experts say the pool of buyers has shrunk dramatically over the past few years.
Securities America Denies Charges of Departing Reps
Anonymous sources insist advisors are leaving or planning to leave the firm.
Ameriprise to Pay $150 Million to Settle Securities America Charges
Settlement still needs court approval, claimants’ buy-in; no wrongdoing admitted by Securities America.
Securities America, Ameriprise Said to Be Near Settlement With Plaintiffs
The IBD tells its reps it is making “good progress” toward settlement over private placement securities.
Securities America’s Calls With FAs Focus on ‘Progress’
Mood of some Securities America advisors and experts remains cautiously hopeful, while others stay skeptical
Securities America 'Deteriorating,' Rep Says, but Company Denies It
The environment at Securities America has deteriorated, with several advisors leaving this week and more set to leave soon, said a departing rep and a veteran recruiter.
‘Substantial Progress’ Reported in Securities America Mediation Talks
Independent BD, backed by parent Ameriprise Financial, says “all interested parties” have committed to a process to resolve legal issues.