Updated Thursday, September 18, 2014 as of 11:48 PM ET
RCS Snaps Up Majority Share of Docupace
The broker-dealer giant has acquired a 51% interest in electronic services firm Docupace Technologies.
More in Independent BDs
"Any effort to put broker-dealers and advisors into the same box is probably not going to work," says a former deputy director of the SEC's Division of Investment Management. more »
Sales and advice should be separated by law, because there’s a clear difference between true "fiduciary" practices and those of the brokerage industry, Fiduciary Institute says. more »
These firms have the highest percentage of female reps. What are they doing differently? more »
Morgan Stanley grabbed an advisor team managing $1.1 billion in assets. But the wirehouse isn't the only firm recruiting top talent. See these and all the latest hires, moves and promotions among wirehouse advisors. more »
FINRA has promoted one of its own to head the regulator's disciplinary unit, but still has no replacement for Linda Fienberg's other role as head of arbitrations. more »
The financial services sector as a whole is chasing short-term gains and in the process saddling investors with the costs of higher trading volumes and often not acting in their best interests, says Vanguard founder John Bogle. more »
Regulators have been clamping down on auditors of broker-dealers in recent years in response to the lack of meaningful audits of Bernard Madoff’s investment firm and other scandals uncovered during the financial crisis. more »
Wirehouse advisors managing more than $1.1 billion in assets have moved over to Wells Fargo. more »
In a two-week period, Ameriprise has recruited five advisors managing more than $600 million. more »
HighTower recruited a Merrill Lynch advisor team managing $440 million in assets. more »
If you're not focusing your time and attention on the people who add the most value to your firm, you're getting it wrong. more »
Firm switches to LPL to help it attract "overlooked" wirehouse advisors with $250,000 or more in revenues. more »
The St. Petersburg, Fla.-based firm's independent broker/dealer has recruited veteran advisors James L. Switzer and Eric M. Cobb from Morgan Stanley. more »
The August Issue is now online!


TWITTER
FACEBOOK
LINKEDIN

Industry Events

September 20, 2014 |

September 28, 2014 |

October 7, 2014 |

October 21, 2014 |

October 27, 2014 | The Mandarin Oriental, Boston

Already a subscriber? Log in here