Broker-Dealers - FA Magazine

Broker-Dealers

New Regs Needed For Financial Planners, Coalition Says

Wednesday, 10 March 2010
The Financial Planning Coalition is pushing for a law that would require anyone calling themselves a financial planner to be SEC registered and meet certain ethical and educational standards.

Schwab Told To Pay $1.8M To Employee

Tuesday, 09 March 2010
Charles Schwab & Co. Inc. must pay nearly $1.8 million—including $1.5 million in punitive damages—to a former employee, according to a securities arbitration award.

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First Allied Pays $1.95M In Fraud Case

Monday, 08 March 2010
First Allied Securities Inc. has agreed to pay $1.95 million to settle charges that it failed to supervise a broker who allegedly engaged in fraudulent trading.

New Rules Likely To Shake Up IRA Advice

Sunday, 07 March 2010
The Department of Labor's push to expand the availability of objective investment advice will likely shake things up for brokers who advise clients on individual retirement accounts.

Overlooked Lending

By Richard Heitman - Friday, 05 March 2010
Small business owners remain caught in a credit squeeze. Here's how advisors may be able to be able to help such clients.

Advisor Emporium

March 2010 issue
Advisor Emporium

Morgan Stanley Sends Message With Broker Suit

Friday, 26 February 2010
Morgan Stanley's suit against employees who left to join HighTower Advisors and its regulatory complaint against the firm are being called a power play to make brokers think twice about leaving.

LPL Reports Earnings Increase

Thursday, 25 February 2010
LPL Financial reported today that its net income for 2009 rose 4.4% to $47.5 million, up from $45.5 million in 2008.

Low Producers Still Leaving Wirehouses

Friday, 12 February 2010
The steady, if sometimes exaggerated, trend of wirehouse advisors shifting to independent brokerages is proving to be more than just a passing fad, according to recent industry statistics.

Five Independent Advisory Firms Join Fusion, NFP Network

Wednesday, 10 February 2010
Five independent financial advisory firms announced they have affiliated with Fusion Advisor Network and National Financial Partners Securities Inc.

Alternative Investments Playing Bigger Role

Tuesday, 09 February 2010
Alternative investments increasingly are playing an important role in asset allocation strategies in investors’ portfolios, according to a new Rydex/SGI survey of RIAs and broker-dealers.

Risk, Regulation Hot Topics at TD Conference

Tuesday, 09 February 2010
Managing risk and government regulations were the hot topics in the halls of the recent TD Ameritrade Institutional conference in Orlando, Fla.

Merrill Lynch Building Up Broker-Training Program

Tuesday, 09 February 2010
Merrill Lynch is ramping up its talent pipeline with plans to add hundreds of new brokers amid efforts to boost its overall broker headcount.

Wells Fargo Sticks With Simple Broker Payout

Monday, 08 February 2010
Wells Fargo & Co. is sticking with the unique transparency of Wachovia Securities' payout grid for the nearly 12,000 brokers who now make up Wells Fargo Advisors.

Raymond James Ordered To Pay $12M

Friday, 05 February 2010
A securities arbitration panel has ordered Raymond James Associates Inc. to pay $12.1 million to Wells Fargo Advisors LLC for alleged raiding.

Investors Target Former Lehman Brokers

Wednesday, 03 February 2010
Some former Lehman Brothers brokers are getting caught in the tide of arbitration cases involving principal-protected notes issued by their parent company.

Fidelity Offers Free iShare ETF Trades

Tuesday, 02 February 2010
Fidelity, firing a new salvo in a price war with Schwab, is offering its RIA clients commission-free online trades on 25 iShare ETFs and the Fidelity Nasdaq Composite Index Tracking Fund.

Advisors Wary Of Wall Street's Leaders

Tuesday, 02 February 2010
The foot soldiers of Wall Street, including thousands of financial advisors, seem deeply ambivalent about how closely lawmakers should listen to their industry's leaders.

B-Ds Trade RIA Merger Horror Tales

By Evan Simonoff - Tuesday, 02 February 2010
What's the real story behind RIA mergers? Some are successful, but in general the picture isn't pretty.

Frontline News

February 2010 issue


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Overlooked Lending

Small business owners remain caught in a credit squeeze. Here's how advisors may be able to be able to help such clients.

Getting Technical

Few financial advisors go into business because they love spending time thinking about their back-office and technology, but often find themselves dealing with too many back-office distractions. Yet streamlining your practice doesn't have to be difficult.

A New Plan

A client with a need for income had her retirement assets slashed more than 40% to $500,000 as a result of the 2008 market crash. Here's how one advisor helped.

Managing Retirement Income: Part II

Some retirees don't realize that their spending plans are too simple—and flawed. An "endowment" spending policy may be a better choice.

When the IRS Comes Auditing

Our writer tells how he learned to greatly appreciate his financial advisor when he faced the classic taxpayer's nightmare: an audit.

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