Regulator Slams Securities America, Advisor Over Alzheimer’s Ad
The IBD denies charges that it failed to supervise an advisor and his "grossly deceptive" radio marketing efforts in Massachussetts.
Securities America Hosts National Conference, Women’s Summit
The indie broker-dealer also says its reps can begin using a mobile-check deposit app.
Securities America Wraps Up $2.5B Insurance Acquisition
The latest deal brings the IBD to more than 200 advisors and an OSJ that sells variable insurance products.
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.
2011 Advisor Hall of Fame
Welcome to Research Magazine's Advisor Hall of Fame, now in its 21st year. This eagerly anticipated annual feature has become a benchmark of excellence in our industry and an example to all of the rewards that result from effort and integrity.
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.