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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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
Registered Rep. January 1, 2008 |
2008: A Glass-Half-Full Kind Of Year? An economic prediction from the Securities Industry and Financial Markets Association.  |
Registered Rep. March 31, 2015 Diana Britton |
Do You Consider Yourself a Fiduciary? A survey of broker dealers on this question.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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?  |
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.  |
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.  |
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.  |
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.  |
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.  |
The Motley Fool October 16, 2008 Zoe Van Schyndel |
The Risky Business of Securities Lending Is your mutual fund betting with your money?  |
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.  |
Investment Advisor February 2010 |
Securities Lawsuits Down The number of federal securities class action law suits filed dropped sharply in 2009.  |
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.  |
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.  |
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.  |
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...  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
Registered Rep. February 1, 2005 |
By the Numbers Top 10 Broker/Dealers, by Advisor Headcount: Merrill Lynch... Wachovia... Smith Barney... Morgan Stanley... etc.  |
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.  |
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.  |
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.  |
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.  |
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.  |
Investment Advisor September 2007 |
Through the Years Broker/Dealers of the Year 1991-2007  |
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.  |
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.  |