Independent Broker Dealers

Displaying 1320 results

Michigan RIA to pay $2.5 million for mutual fund conflicts

Michigan RIA to pay $2.5 million for mutual fund conflicts

September 20, 2019

Sigma Planning failed to disclose conflicts related to 12b-1 fees: SEC.

Robert Moore is back. And he’s focused on REITs

Robert Moore is back. And he’s focused on REITs

September 18, 2019

Cetera's former CEO launches new fund but he won't be working full-time.

Once again, GPB delays release of audited financial statements

Once again, GPB delays release of audited financial statements

September 12, 2019

After raising $1.8 billion, GPB fails to deliver information to investors.

Advisor Group new bonus program falls short for some advisers

Advisor Group new bonus program falls short for some advisers

September 6, 2019

Some of the broker-dealer networks 7,000 advisers are underwhelmed by offer.

Trizic rebrand shows difficult route for robo-advisers

Trizic rebrand shows difficult route for robo-advisers

September 5, 2019

Harvest to focus on banks and credit unions instead of independent advisers.

Independent contractor status for brokers and advisers safe in California

Independent contractor status for brokers and advisers safe in California

September 3, 2019

FSI successfully lobbied earlier this year for an exemption to proposed legislation for its broker-dealer and RIA members.

New York IBD to acquire $2.5B Boston hybrid

New York IBD to acquire $2.5B Boston hybrid

August 27, 2019

National Holdings Corp. is set to acquire Winslow Evans & Crocker Inc. in 2020.

Advisor Group acquisition financed by debt rated ‘junk’ by S&P

Advisor Group acquisition financed by debt rated ‘junk’ by S&P

August 23, 2019

High levels of debt could be impacted by declining interest rates, the debt rating firm says.

Kestra Financial’s new rollup lands its first RIA

Kestra Financial’s new rollup lands its first RIA

August 20, 2019

Bluespring acquires $152.6 million firm in Ohio, Hickory Asset Management Inc.

IFS Securities hit with $10 million trading loss: reports

IFS Securities hit with $10 million trading loss: reports

August 15, 2019

IFS Securities facing 'substantial losses' from head bond trader's bet on Treasuries.

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