On Sunday evening, Aug. 28, 2005, the night before Hurricane Katrina was to hit Gulfport, Miss., financial advisor Bob Sawyer reckoned it might be a good idea to make one more visit to his Stifel Nicolaus office to board up some of its windows...
A disgruntled YouTube subscriber, who goes by the screen name has posted a video that parodies Ameriprise's baby boomer retirement campaign. The mock ad shows a montage of 20- and 30-year olds surfing, rocking out and having fun, with a series of...
So many people I speak to, seem to believe there are some magic numbers out there that equate to stock picking success.
James Daniel knew what he wanted, and it was more independence. So, last year, after three years with Ameriprise in Alpharetta, Ga., Daniel decided he was ready to make The Big Move: He would drop his Series 7 and go out on his own as a registered...
The NASD fined Chase Investment Services and MetLife Securities for failing to establish internal controls to supervise the sale of 529 college savings plans. The two firms were fined $500,000 apiece and ordered to reimburse customers who were...
Three foreign firms plan to make their final bids for Putnam Investments ahead of the Thanksgiving holiday, The Wall Street Journal reports, citing people familiar with the bidding process. The trio includes U.K. asset manager Amvescap, parent of...
The NASD said on Monday that it has fined two brokerage firms—Chase Investment Services and MetLife Securities—for failing to establish internal controls to supervise the sale of 529 college savings plans. The two firms were fined $500...
The IndependentsThere are literally thousands of broker/dealers. Here is a list of the 20 largest. Firm Producing Reps Average Payout Recruiting Executive Clearing Firm Parent Company Linsco/Private LedgerSan Diego, CA, 858-450-9606www.joinlpl.com...