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The four new recruits moved to Raymond James’ independent broker-dealer.
July 11
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BIC took a fresh look at its top program managers and re-ranked them based solely on productivity.
July 11
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The firm settled charges by Vermont securities regulators connected to a ski resort at the center of an alleged $200 million fraud. A related lawsuit filed by an SEC-appointed receiver is pending.
July 1
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Most banks and credit unions outsource their investment programs to third-party broker-dealers. Here's how they stack up.
June 28
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Enforcement actions at the SEC and FINRA highlight emphasis regulators are placing on fees and reverse churning, anti-money laundering programs and variable annuities.
June 23
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BIC took a fresh look at its top program managers and re-ranked them based solely on team assets under management.
June 21
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Also, J.P. Morgan saw a team managing $300 million in client assets go independent.
June 20
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Three industry veterans – one with more than four decades of experience – oversaw more than $205 million in client assets, according to Raymond James.
June 20
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The adviser, who has more than 30 years of industry experience, left to join Noyes.
June 6
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The recruit had $1.8 million in annual production before making the move, the regional BD said.
June 2
