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  • Commonwealth Financial Network Announces New Advisor Affiliation Models: You Can Be A Fee-Only RIA And Leverage The BD's Services

  • "Undercover" Broker Tests Reveal Dubious Annuity Sales Practices And Overly Conservative Allocations

  • 2012 Report Identifies Top Five Challenges For Broker-Dealers Along With Industry Trends And Best Practices

  • 300-Advisor Firm Winds Down Its Business, Blaming Broken Industry Model, Not Private Placements

  • AARP Joins Fiduciary Debate Alongside CFP Board, Financial Planning Association, And Other Consumer And Professonal Associations To Oppose Broker/Dealers And SIFMA

  • Actiance Announces Socialite Engage to Help Financial Advisors Strengthen Client Relationships and Drive New Business Through Social Media

  • Another Broker-Dealer On The Ropes Raises New Questions About Private Placements

  • Another IBD Bites the Dust

  • Another Private Placement Brokerage Firm Shuts Down

  • Commonwealth Adds Broadridge's Forefield Applications To Research Package At No Cost To Advisors

  • Data Base Allows You To Compare Various Broker-Dealers Either By Pre-Set Criteria Or By Criteria You Input

  • Distressed Price For Securities America Ends The Suspense -- And Now Reps Can Make An Informed Choice

  • Eric Schwartz Sees Massive Consolidation Ahead In The Broker-Dealer Space

  • Financial Services Institute Holds Its Annual Meeting, Highlighting Its Growth As Financial Planning Association Struggles

  • FINRA Considers Proposal Mandating Greater Consumer Access To BrokerCheck Through Web Links

  • FINRA Forces Wedbush To Pay Trader $3.5 Million In Back Commissions

  • FINRA Requests Comment On Ways To Increase Investor Use Of BrokerCheck: My Suggestion Is To Consolidate Advisor Licensing Databases And Open It To Search Engines

  • FINRA's Estimate Of Cost Of Establishing And Maintaining An SRO For RIAs Challenged By Coalition Representing RIAs

  • FINRA's Ketchum, With "Mindless Regulator" Comment, Indicates FINRA Needs A New Leader

  • Five Brokerage Firms Punished For Nebulous "Handling Fees"

  • For Small BDs And Clearing Firms, FINRA Legal Action Serves As a Cautionary Tale On Anti-Money-Laundering Compliance

  • Huge Exodus At Merrill Lynch May Bode Ill for BofA

  • If Stifel No Longer Wants Morgan Keegan, Where Do The 1,200 Reps Go?

  • In A Blow To Registered Reps With Non-Compete Agreements With Their BDs, U.S. Supreme Court Reaffirms That Arbitrators—Not The Courts—Determine Enforceability Of Non-Compete Provisions

  • Insurors Are Dumping Broker-Dealers Based On Economic Factors And Conflicts Of Interest

  • Is First Allied Securities Splitting With Its Corporate Parent?

  • JD Power And Associates Ranks RBC Wealth Management Highest In Investor Satisfaction

  • Ladenburg Allocates Up To $70 Million For Follow-Up Securities America Payments

  • Latest Private Placement Settlement Lays Out Just What Qualifies As Due Diligence...And What Falls Short

  • Leaked Death Of Brokerage Firm May Be A Signal Of Wider Balance Sheet Deterioration

  • LPL Financial Announces Rollout Of ClientsFirst Marketing Platform To Retirement Partners Division

  • Merrill's Thiel Says Advisors Must Change The Conversation With Clients, But His Comments Come Four Years After The Financial Crisis

  • MetLife Selling Tower Square Securities And Walnut Street Securities To Cetera Advisor Networks

  • NAIFA Backs FINRA Examination Of SEC-Registered Investment Advisers

  • NFP To Be Acquired By Madison Dearborn Partners For $1.3 Billion

  • North Dakota Brokerage Firm Redeems $1 Million In Pawned Stock

  • PrimeVest Consolidating In The Bank Advisory Channel

  • Private Equity Still On The Acquisition Trail...But It's A Buyer's Market

  • Registered Reps With Their Own Independent RIA Must Keep Their Own Email And Social Media Archives In Addition To Their Broker-Dealer's Records

  • SEC Wants Data And Comments About Harmonization Of The Rules Governing The Way RIAs Deliver Advice Versus Broker-Dealers

  • Securities America Wins BISA Technology Innovation Award for Advisor Dashboard

  • SIFMA Demanding That Breakaway Advisors Repay Their Retention "Loans"

  • Social Media Adoption By RIAs and Broker/Dealers

  • Social Media Compliance Imbroglio At Netflix Illustrates Risk Securities Firms And Professionals Face From Unregulated Use Of Twitter, Facebook, And LinkedIn

  • Succession Planning: The Equity Equation

  • Talent Exodus From Large Firms Continues In 2012

  • UBS Actually Posts A Profit In The Recent Quarter As Advisor Production Expands

  • UBS Spares Brokers While It Cuts 3,500 Other Jobs, Including Plenty In The U.S. Home Office

  • Yet Another Debt-Laden Brokerage Firm Fails To Find A Buyer, Shuts Down Instead

  • Yet Another Small Broker-Dealer Shuts Down, Moving Founders And Clients To Davidson

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