BrokerCheck Links in Twitter Profiles? No Way, BDs Tell FINRA
In comments on FINRA's revised plan to require links to BrokerCheck, rules on social media and other third-party sites draw particular ire from broker-dealer groups.
SEC, FINRA, DOL Enforcement Roundup: 8 Charged for Insider Trading on Pharma Deal
Among the recent actions taken by the regulators were a settlement of $1.27 million to be paid by an advisory firm to 13 pension plans and charges in an insider trading ring.
The 2012 Broker-Dealers of the Year: How You Picked Them; Where They Placed
Investment Advisor readers' choices for the 22nd annual Broker-Dealers of the Year: those BDs that placed second and third in the balloting, along with details on the voting process.
National Financial Partners Buys Fusion Advisor Network
Fusion, a consulting network to advisors, will become part of BD NFP Advisor Services Group; its founder, Stuart Silverman, will remain.
Indie Broker-Dealers Face Struggle to Survive: Cerulli
The things that advisors love about independent broker-dealers also give rise to the problems that make survival difficult in the channel, according to a Cerulli report.
Fusion Names Industry Veteran Salameh as Chief Marketing Officer
Former TD Ameritrade marketing director will provide marketing consulting services to advisors affiliated with Fusion Advisor Network, led by Philip Palaveev and Stuart Silverman.
Broker-Dealer NFP Securities Changes Its Name, Sharpens Its Focus
According to James Poer, over the past two to three years NFP Securities has quietly changed its focus.
Jeff Montgomery Named Chairman of AFAM
company formerly known as Al Frank Asset Management, has named its CEO, Jeff Montgomery, as Chairman, effective August 1, 2010.
Catching Up With...
When we last reported on a conversation with Jeff Montgomery in these pages, the former NFP Securities honcho had recently become CEO of Al Frank...
Insurance lessons never learned
Why aren't more so-called "comprehensive" advisors handling insurance in-house? Can they really get a clear understanding of a client's financial picture if the insurance portion...