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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
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The New Jersey bank moved its investment services program to Raymond James after a 14-year relationship with Essex Securities.
June 1
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The firm is facing a lawsuit on behalf of investors who lost money in a $350 million Ponzi scheme.
June 1
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Close scrutiny of data from the nation’s largest IBDs reveals some surprising shifts, with more to come.
June 1 -
The independent broker-dealer industry could lose a third of its brokers and many of its smallest firms, experts predict. What does that mean for survivors?
June 1
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See which TPM tops the list for both highest production-per-adviser and highest fee income.
June 1
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The industrywide gain in fee income is a welcome development given the new fiduciary rule--see how firms are preparing for new regulations as well as new competition.
June 1
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The firm's newest recruit is a veteran broker from Morgan Stanley.
May 31
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Wealth management leaders are weathering current markets while aiming to jumpstart AUM growth with expanded client services and new tech tools.
May 31
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Two veteran advisers joined the independent firm, which is affiliated with Raymond James.
May 31
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Yet that wasn't Merrill's only recruiting success, as the wirehouse also picked up a team overseeing more than $500 million in client assets.
May 26
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The firm's latest acquisition is MacDougall MacDougall & MacTier, known as 3Macs, and which was founded in 1849.
May 26 -
The recruit generated $1.7 million in annual production before making the move.
May 23
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Three weeks after the broker killed himself, the firm agreed to a confidential settlement with his wife for an undisclosed amount.
May 19
