FSI OneVoice 2012: Warning to Regulators From Spider-Man, Other IBD Leaders
At annual confab of independent BD leadership, Jim Nagengast, conference chairman, opened the forum espousing industry unity and warned Washington to not abuse its regulatory power.
FSI Reports Record Attendees for Annual OneVoice Conference
More than 600 registrants and 65 exhibitors already for Jan. 23-25 conference for independent broker-dealer advocacy group.
Securities America Launches Online Transition Center for Advisors
Broker-dealer follows through on CEO's pledge to help its affiliated reps grow through acquisitions of other practices.
Ladenburg Thalmann to Buy Securities America
Ladenburg Thalmann said that it planned to pay Ameriprise Financial $150 million in cash for Securities America in late August. In addition, the Miami-based broker-dealer says it will pay up to $70 million in 2012 and 2013 in so-called earn-outs, as the firm explained in an SEC report. Plus, Ameriprise...
Securities America Deal: ‘Huge Gamble’ for Advisors and Ladenburg, Experts Say
Recruiters are concerned that the deal will be good for Ameriprise but leave advisors in the cold, leaving them with uncertainty and lacking in better services and products.
Ladenburg Thalmann to Buy Securities America for $150 Million
Parent of IBDs Investacorp and Triad Advisors promises to keep troubled Securities America independent, and its management team intact.
Securities America Denies Charges of Departing Reps
Anonymous sources insist advisors are leaving or planning to leave the firm.
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.
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.