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Securities America has paid more than $15 million in an SEC case and settlements with the fraud victims of Hector May and his daughter, Vania May Bell.
October 20 -
Two Securities America brokers and their firm must pay the large award after a case that leaves many unanswered questions.
August 2 -
Kristin Kimmell brings decades of experience and notable success as the replacement to the former head recruiter promoted only last year.
July 14 -
The Advisor Group IBD missed 55 alerts suggesting suspicious disbursements by clients of Hector May, according to the SEC.
July 1 -
The 20-advisor team left Advisor Group’s Securities America for the private equity-backed holding company’s independent subsidiary, Cadaret Grant.
April 28 -
Recruiting and retention of talent looms large for Advisor Group after it rolled up three firms in the wake of a massive acquisition.
February 4 -
The No. 1 IBD is responsible for nearly half of the dozen mega-moves in its sector this year.
November 24 -
The advisor allegedly used an omnibus trading account to help himself and hurt his clients to the tune of tens of thousands of dollars, according to the regulator.
October 5 -
The largest percentage of women advisors for any single firm rose from the previous year, but the available numbers paint a stark picture.
July 6 -
While CEO Jamie Price says tech capabilities rather than cost savings prompted the decision, he acknowledges the need to win over the reps who are now set to change firms.
May 15