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Registered Rep.
October 1, 2004
Will Leitch
Bank Shots For the first time in a year-and-a-half, quarter-over-quarter revenue at bank-owned broker/dealers dropped, by 18 percent, according to a Bank Insurance & Securities Association's (BISA) report on the second quarter of 2004. mark for My Articles similar articles
Registered Rep.
December 10, 2003
David A. Gaffen
Securities Revenues Fall in Third Quarter Securities firms showed profits of $3.0 billion in the third quarter of 2003, a 45 percent decline from the second quarter, according to the Securities Industry Association. A significant drop in trading revenue was responsible for the profit hit. mark for My Articles similar articles
Registered Rep.
January 1, 2006
Kristen French
Help Wanted Securities Industry employment topped the 800,000 mark in November for the first time since February 2002. mark for My Articles similar articles
Wall Street & Technology
July 1, 2005
Maria Santos
Fast Facts According to the Securities Industry Association's 2004 Investor Survey, nine out of 10 investors are "very" or "somewhat" satisfied with the service provided by their investment professional. mark for My Articles similar articles
Registered Rep.
September 21, 2007
Halah Touryalai
Banks Officially Welcomed into the Brokerage World Under New SEC Rule It only took eight years, but the SEC and the Board of Governors of the Federal Reserve System passed final rules defining how banks can act as securities brokers. mark for My Articles similar articles
Registered Rep.
June 15, 2004
John Churchill
Wall Street's Profits, Jobs, Compensation Are On the Rise Wall Street had its third best year ever in 2003, and 2004 is shaping up to be at least as good, according to the Securities Industry Association. mark for My Articles similar articles
Wall Street & Technology
June 21, 2004
The Trust Factor We're at a point where we trust the technology and we trust the operations, but we don't trust the human beings and the corporations in the securities industry. mark for My Articles similar articles
Registered Rep.
July 30, 2003
Will Leitch
Securities Industry Registers Slight Employment Uptick Securities firms have begun adding employees again, according to statistics from the Securities Industry Association and the Labor Dept. mark for My Articles similar articles
Investment Advisor
September 2008
Melanie Waddell
Whither the Independent B/D? Securities America's acquisition of Brecek & Young is yet another sign of dwindling independent broker/dealers. mark for My Articles similar articles
Registered Rep.
August 26, 2014
Diana Britton
The Evolution of RCAP Nicholas Schorsch, executive chairman of RCS Capital, made his initial foray into the independent broker/dealer space with his purchase of First Allied Securities and The Legend Group, with 1,500 advisors. Since then, Schorsch has been on an acquisition tear. mark for My Articles similar articles
Wall Street & Technology
January 5, 2007
Securities Lending Continues Growth Initially a back-office function handled by large banks and broker-dealers, securities lending now is a major front-office function that occupies a prominent position in many broker and custodian offices. mark for My Articles similar articles
Entrepreneur
November 2007
Rosalind Resnick
Getting a Margin Loan Securing a margin loan can mean quick cash for startup, but it doesn't come without risk. mark for My Articles similar articles
Wall Street & Technology
June 21, 2004
Spending Stats TowerGroup VP estimates that the North American securities market will spend $71.5 billion on technology this year. mark for My Articles similar articles
Registered Rep.
January 1, 2008
2008: A Glass-Half-Full Kind Of Year? An economic prediction from the Securities Industry and Financial Markets Association. mark for My Articles similar articles
Registered Rep.
March 31, 2015
Diana Britton
Do You Consider Yourself a Fiduciary? A survey of broker dealers on this question. mark for My Articles similar articles
InternetNews
May 17, 2004
Securities Industry IT Spend to Hit $71.5 Billion While double digit increases are long gone, the Tower Group finds North American securities industry IT spending on the rise. mark for My Articles similar articles
The Motley Fool
March 21, 2007
S.J. Caplan
Check Out Your Broker A redesigned website tells you what you need to know before you invest. mark for My Articles similar articles
CFO
March 1, 2008
Julia Homer
It Takes a Bubble In the clear light of the post-subprime bubble, we can see how remarkably similar it was to the dot-com bubble that burst just before it. mark for My Articles similar articles
On Wall Street
October 1, 2008
Donna Mitchell
Auction-Rate Securities Dust Settles, But What About Small Brokerages? Observers expect red faces as regional brokerage customers are left out of the settlements and advisors better prepare for some harsh words. mark for My Articles similar articles
Investment Advisor
June 2009
Russ Diachok
Coming to an RIA Near You One of the scenarios arising from the financial crisis and frauds like the one perpetrated by Bernie Madoff will be greater regulation of broker/dealers. mark for My Articles similar articles
Registered Rep.
June 7, 2011
Diana Britton
Advisor Group in Talks to Acquire Smaller B/D Independent broker/dealer network Advisor Group is talking to a number of small and mid-sized broker/dealers that the company would consider purchasing. mark for My Articles similar articles
The Motley Fool
May 20, 2004
Tim Beyers
American Express Unit in Scandal The broker could be a target of a regulatory inquiry into mutual funds revenue-sharing. How can you tell if your own broker or advisor has a conflict of interest? mark for My Articles similar articles
Wall Street & Technology
January 20, 2008
Cory Levine
Fixed-Income Products Fail to Go Fully Electronic New research reveals that not all types of fixed income securities are experiencing rapid electronification. mark for My Articles similar articles
Registered Rep.
May 6, 2003
Ross Tucker
Wall Street Employment: Worst Market Ever? Yup. It's bad out there. The securities industry has lost a record number of jobs, according to a recent report from the Securities Industry Association. But as a percentage of total jobs, the 1973-1974 bloodletting was worse. mark for My Articles similar articles
Registered Rep.
January 1, 2005
I'm A Broker, You're A Broker At most publicly traded national broker/dealers, about 35 percent of employees are called financial advisors. mark for My Articles similar articles
Registered Rep.
October 1, 2006
Kristen French
Cold Call: Jeff Gerson What is the view from your office window today?... How did you get your first job in the securities industry?... etc. mark for My Articles similar articles
Registered Rep.
August 1, 2006
Kristen French
The More Things Change Despite the big push for millionaire clients throughout the industry in recent years, average annual revenue per financial advisor for all firms has remained relatively constant. mark for My Articles similar articles
The Motley Fool
October 16, 2008
Zoe Van Schyndel
The Risky Business of Securities Lending Is your mutual fund betting with your money? mark for My Articles similar articles
Investment Advisor
March 2007
March 2007 NASAA reported that between 2004 and 2005, 26% of the 3,635 state enforcement actions dealt with the financial exploitation of seniors... Financial Services Institute Chairman John Simmers announced FSI will issue a white paper... etc. mark for My Articles similar articles
Investment Advisor
February 2010
Securities Lawsuits Down The number of federal securities class action law suits filed dropped sharply in 2009. mark for My Articles similar articles
The Motley Fool
February 11, 2004
Selena Maranjian
Avoid "Brokerage Identity Theft" Identity theft doesn't just happen to individuals. Even brokerages can be victims. Be wary when someone contacts you claiming to be a brokerage, even a well-known one. mark for My Articles similar articles
Registered Rep.
March 9, 2012
Kristen French
Due Diligence: SEC Gives 70-Year-Old Broker a Break Back in the late 1970s, at the start of his career, Robert Hardee Quarles got himself into trouble -- offering and selling non-exempt securities without a valid and effective registration statement and also misleading his customers about the nature and risks of those securities. mark for My Articles similar articles
Investment Advisor
September 2009
James J. Green
Where Representatives Would Go This year, more than many others, many representatives of broker/dealers are reassessing their options when it comes to with whom, and how, they will affiliate. mark for My Articles similar articles
CIO
November 15, 2001
Department of Big, Scary Numbers Projected number of layoffs in the airline industry through 2002... U.S. Internet users who visited news sites the week of Sept. 11... approximate cost to replace technology lost by securities companies alone on Sept. 11... mark for My Articles similar articles
Financial Advisor
June 2007
Sherri Scordo
Indepedent Broker-Dealers/Financial Advisor's 2007 Snapshot of Leading Firms Advantage Capital Corporation... AIG Financial Advisors... American General Securities, Inc... etc. mark for My Articles similar articles
The Motley Fool
July 17, 2006
Stephen D. Simpson
Commerce Bancorp: Still Controversial Investors, it's not often that you see this much growth and controversy in a banking name, so it's likely to be a volatile name for some time to come. mark for My Articles similar articles
Registered Rep.
August 17, 2011
Ladenburg Thalmann to Buy Securities America Ladenburg Thalmann Financial Services Inc. has agreed to buy Securities America Financial Corp., the troubled independent broker/dealer, from Ameriprise Financial Inc. for at least $150 million in cash. mark for My Articles similar articles
Financial Planning
August 1, 2008
Andrew Ackerman
In First, Mass. Sues UBS In the first state-level lawsuit against an investment firm over auction-rate securities, Massachusetts has filed securities fraud charges against UBS for selling retail investors auction-rate paper as "liquid, safe, money-market" instruments even though the defendants knew it was not. mark for My Articles similar articles
The Motley Fool
November 22, 2006
Selena Maranjian
What's a Cold Call? How to identify stock broker cold callers, what to say to them, and when you should just hang up. mark for My Articles similar articles
Wall Street & Technology
March 21, 2006
Consumers to Foot Compliance Bill? The securities industry's cost of compliance has nearly doubled over the past three years, and costs may be passed on to investors through higher prices and fewer choices. mark for My Articles similar articles
Wall Street & Technology
February 25, 2005
Regulators in the Driver's Seat Regulation is here to stay and remains the No. 1 driver for IT organizations within securities and investments businesses for 2005, says recently released research by TowerGroup. mark for My Articles similar articles
Registered Rep.
February 1, 2005
By the Numbers Top 10 Broker/Dealers, by Advisor Headcount: Merrill Lynch... Wachovia... Smith Barney... Morgan Stanley... etc. mark for My Articles similar articles
Registered Rep.
September 1, 2004
Will Leitch
For Advisors, 2003 Was a Better Year The fortunes of advisors took a turn for the better in 2003, according to the annual report from the Securities Industry Association. mark for My Articles similar articles
Registered Rep.
September 14, 2006
Halah Touryalai
NASD Fines Securities America for Failure to Supervise Securities America was fined $2.5 million for failing to supervise an advisor who allegedly lured clients into early retirement with exaggerated promises of high returns. mark for My Articles similar articles
InternetNews
March 10, 2010
Tech Stocks Rally Ten Years After Topping Out Ten years after the dot-com bubble burst, the Nasdaq still has a long way to go. mark for My Articles similar articles
Registered Rep.
June 9, 2008
Credit Downgrades, More Write-Downs And The ARS Market Credit downgrades to MBIA and AMBAC Financial Group, the world's largest bond insurers, will lead to more write-downs at Citigroup, Merrill Lynch and UBS, according to a new research report. mark for My Articles similar articles
Investment Advisor
July 2009
Jonathan Henschen
Broker/Dealer Briefing: Which B/D Model Works Best? Advisors typically don't have a clue as to what the profit centers are at broker/dealers and, frankly, the broker/dealers would like to keep it that way. mark for My Articles similar articles
Investment Advisor
September 2007
Through the Years Broker/Dealers of the Year 1991-2007 mark for My Articles similar articles
Registered Rep.
June 23, 2011
Diana Britton
Ladenburg Thalmann Possible Buyer in Securities America Sale Ladenburg Thalmann, parent company of Triad Advisors and Investacorp, has emerged as a potential buyer of Securities America, which Ameriprise Financial announced plans to sell in late April. mark for My Articles similar articles
Registered Rep.
October 21, 2002
Accused Rogue Broker Puts UBS PaineWebber Under Scrutiny How did a broker get away with his alleged thieving? The Massachusetts Securities Division is investigating UBS PaineWebber's supervisory and compliance procedures in connection with allegations of a broker stealing more than $4 million from clients, according to the state's Securities Division. mark for My Articles similar articles