Barclays U.S. Wealth May Fetch $250 Million, Credit Suisse Says
Stifel Financial is reportedly in a deal to acquire the firm's roughly 250 financial advisors.
HighTower Group to Target Athletes, Celebrities
Some advisors, though, say it's better to focus on pro athletes from a single sport rather than targeting all VIPs.
FINRA BrokerCheck Ad Campaign Supported by Huge Fine Volume
FINRA's $3.5 million campaign compares hiring a broker without checking BrokerCheck to other "leap-before-you-look" mistakes.
Best Firms for Self-Directed Investors: J.D. Power—2015
The latest survey finds that do-it-yourselfers want access to top tools, human advisors and clear information on fees.
The 2015 Broker-Dealer Presidents Poll
Broker-dealer presidents are fierce competitors, and while they may cooperate in areas of advocacy—as they do notably as members of the Financial Services Institute—they all want nearly the same representatives.
Raymond James Adds Team in Flooded Texas Region
Meanwhile, Raymond James, BofA and Wells Fargo are donating to flood relief, and RJ says it is buying Producers Choice Network.
FINRA Floats ‘Watered Down’ BrokerCheck, Broker Bonus Rules
The new broker bonus plan “runs counter to the current industry debate” over a common fiduciary standard, which brokerage firms largely favor, lawyer Patrick Burns says.
LPL Shares Info on Reps Recruited in Q1
The IBD lags rivals in terms of average assets per financial advisor but says its "technology, solutions, service and resources" set it apart.
Talk of FINRA as Advisor SRO Rears Its Head Again
A Republican on the House Financial Services Committee said at FINRA's annual conference that he would "explore" legislation to give FINRA advisor exam authority.
How Super OSJs Bring Innovation to Broker-Dealers
While broker-dealer management is distracted by heavy-handed regulation, BD producer groups (aka super OSJs) are providing multiple new benefits to reps.