Investors Back More Broker Regulations: FINRA Survey
Nearly three-quarters of investors support more regulations to safeguard them from broker misconduct, an online survey from FINRA found.
Cambridge Joins Ranks of IBDs Abandoning Schorsch
The group stops sales of three Cole REITs following an accounting scandal at American Realty Capital.
RIA Assets Jumped 12.6% in 2014: IAA/NRS Study
Regulatory assets held by advisors registered with the SEC increased by $6.9 trillion from last year, according to an analysis of filings.
FINRA’s Big-Brokerage Loyalty Revealed in New Bonus Plan: Lawyer
The proposal, which curtails mandatory disclosures, should "leave no doubt" where FINRA’s loyalties lie, lawyer Patrick Burns says; recruiter Jon Henschen argues disclosure is pointless.
The 2014 BDOTY; Collaborative Divorce; A Solution for the Human Capital Crisis: IA September Features—Slideshow
In the September issue of Investment Advisor, we present the 24th annual Broker-Dealers of the Year.
A New Hope
In the individual video interviews I conducted with the leaders of the 2014 Broker-Dealers of the Year, I asked what advice they’d give to a college student considering a career in the financial advice field.
As Kleintop Leaves LPL for Schwab, Will Morale Suffer?
The latest high-profile departure from LPL "does not bode well" for staff morale, says one recruiter; others disagree.
The 2014 Broker-Dealer Reference Guide
Some observers of the independent broker-dealer universe might be tempted to explain its current state by counting the acquisitions that Nicholas Schorsch's Realty Capital has made over the past year.
Roth Replaces RCAP’s Brown as Schorsch Defends Move
Schorsch tells ThinkAdvisor that he adamantly denies allegations that RCAP is turning into an "ole boys' club" as the respected Valerie Brown leaves Cetera.
FINRA Sends Broker Bonus Plan to SEC for Approval
If approved, brokers would need to disclose their recruitment comp to clients following them to their new firm for a year after the broker's move.