Broker-Dealers
Rumors Keep Circulating That UBS Brokerage Is Up For Sale
Another round of gossip about UBS Wealth Americas being on the acquisition block.
Is Ameriprise Looking To Buy ETF Vendor Grail Advisors?
While Ameriprise was negotiating the Securities America client settlement, its lawyers may also have been gearing up to buy a small ETF vendor.
Stifel Nicolaus Gets A Token Fine For Raiding AG Edwards
FINRA has fined Stifel Nicolaus a mere $167,000 over what Wells Fargo says was systematic poaching of its newly acquired A.G. Edwards brokers.
Ameriprise Settles For 45% to 48% Of Most Securities America Clients' Claims
After a few weeks of silent but intense negotiation, it looks like Amerprise lawyers have found a way to settle $400 million in claims from aggrieved Securities America clients.
AIG Advisor Group Gets Aggressive About "Open Architecture" As A Differentiator
One of the traditional selling points of the independent channel is that affiliates don't have to sell proprietary products. That's exactly the proposition AIG Advisor Group is making to prospective recruits.
