‘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.
Rejection of Securities America Settlement Has Wide-Ranging Implications
State securities regulators hail judge’s decision as protecting investors’ interests, but trouble looms for the broker-dealer, and perhaps for other BDs.
Judge Rejects Securities America Class Action Settlement in Big Blow to BD
Provident, Medical Capital ruling has wider implications for broker-dealer industry.
What Women Want
What do women business owners want? Raymond James, for one, has been trying to figure that out for 13 years. Karen Schultz, the newest Raymond...
A Woman's Touch
"Why can't a woman be more like a man?" moaned Prof. Henry Higgins in one of My Fair Lady's memorable moments. If Higgins were in the...
Bridge the broker/dealer marketing gap
In a world of increased regulation and high consumer demands, one of the more common advisor complaints is about the sub-par quality of the marketing...