IBDs

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  SEC, FINRA Enforcement Roundup

  By Marlene Y. Satter, AdvisorOne  |  May 24, 2012

  Broker-dealer Cadaret, Grant fined; alleged $60 million Ponzi scheme busted; Morgan Stanley in hotseat.

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  Raymond James Shows Morgan Keegan Effect on April Results for FAs

  By Janet Levaux, AdvisorOne  |  May 24, 2012

  The combined advisor force generated more than $250 million in total fees and commissions with Morgan Keegan FAs adding nearly 25% boost.

• LPL Financial Boosts FAs, Sales

  By Janet Levaux, AdvisorOne  |  May 24, 2012

  LPL Financial said its first-quarter net income was $41.2 million, or $0.37 per share, down $7.8 million compared with net income of $49.0 million, or $0.43 per share, from a year earlier.

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  Kickstarter for Wall Street? Broker-Dealers Get Into the Crowdfunding Game

  By Joyce Hanson, AdvisorOne  |  May 23, 2012

  It’s official: the money people are rallying to the crowd-funding cause.

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  Advisors Deliver Two-Thirds of Raymond James Revenue, Says CEO Reilly

  By James J. Green, AdvisorOne  |  May 23, 2012

  Bidding to be the ‘premier alternative to Wall Street,’ Raymond James focuses on service and technology and is seeing particular recruiting success in its employee BD unit.

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  FINRA on Pace to Match Record Enforcement Actions

  By Melanie Waddell, AdvisorOne  |  May 23, 2012

  FINRA brought a record number of enforcement cases in 2011—approximately 1,500—and is on pace to bring just as many cases in 2012.

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  Raymond James Execs Aim to Reassure Advisors About Merger

  By Janet Levaux, AdvisorOne  |  May 22, 2012

  At the Raymond James independent-advisor confab, Scott Curtis and other executives told prospective new affiliated reps to expect transition and other services to remain steady.

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  Investment Advisor’s 2012 Broker-Dealer Reference Guide

  By John Sullivan, Advisorone, Liana Roberts  |  May 22, 2012

  Europe, regulation, margin squeeze, market volatility, succession planning and … oh yes, the day-to-day pressures of running a business.

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  The 2012 Broker-Dealer Presidents' Poll

  By John Sullivan, Advisorone, Liana Roberts  |  May 22, 2012

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  Advisor iPad App Allows Client Reviews to Go Anywhere

  By Joyce Hanson, AdvisorOne  |  May 21, 2012

  “As long as I have my iPad with me, there’s nothing I can’t access. I can run into a client in a restaurant and do things on the fly,” says Ted Rich of Vinoy Capital.