Tag: Broker/Dealer

The Financial Industry Regulatory Authority (FINRA) has fined Ameritas Investment Corp. $100,000 and suspended and fined one of its brokers for inducing customers to take on additional home...

While moving to independence is easier for advisers than ever before, it’s still not exactly easy.

Morgan Stanley Smith Barney announced that clients can access unlimited Federal Deposit Insurance Corporation (FDIC) insurance on cash held through its Bank Deposit Programs.

Money doesn't seem to equal "prestige" in the eyes of Americans.

Days after Bank of America (BofA) announced the appointment of Sallie Krawcheck to run global wealth and investment management, Daniel Sontag said he will leave BofA, according to...

UBS did some more rearranging of its wealth management units, but the American business will stay the same.

Bank of America Corporation (BofA) unveiled four senior management changes, including the appointment of Sallie Krawcheck to lead Global Wealth and Investment Management.

National Financial announced it has integrated the wealth management capabilities of Thomson ONE into its Streetscape brokerage workstation.

A new survey found that Bank of America Corp. (BofA) holds the title of the biggest wealth manager through the end of 2008.

The National Association of Independent Broker/Dealers (NAIBD) launched a new Web site that it said offers a more comprehensive members-only section.

A female broker accused Bank of America (BofA) of gender bias by offering female former Merrill Lynch brokers lower retention payments than their male counterparts.

The MetLife Broker-Dealer Group has launched an electronic business processing system for its broker/dealer operations known as eApp (electronic application) and eApp with electronic signature option.

Woodbury Financial Services, Inc., recently launched a Web site to offer tools and support for its registered representatives to reach their business objectives.

Pershing LLC, a subsidiary of The Bank of New York Mellon Corporation, launched a new program to help broker/dealers better serve investment professionals and registered investment advisers (RIAs).

Automated Compliance Solutions (ACS) said its new compliance program management software for broker/dealers can give smaller broker/dealers bigger tools.

The times may be troubled, the markets volatile, but advisers seem resilient.

The details of how the joint venture between Morgan Stanley and Smith Barney will play out are yet to unfold, but retirement plan advisers seem optimistic about the...

Independent broker/dealers (IBDs) say recruiting is important—but the competition for advisers is high.

AIG Small Business, a division of AIG Commercial Insurance, said its AIG e-Excess platform now features a premium indication tool and multi-limit quote functionality to help brokers process...

Three independent broker/dealers (IBDs) control an overwhelming share of managed account assets in the independent channel, according to data from Cerulli Associates.