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By Ellen Uzelac |
November 23, 2011
Welcome to Research Magazine's Advisor Hall of Fame, now in its 21st year. This eagerly anticipated annual feature has become a benchmark of excellence in our industry and an example to all of the rewards that result from effort and integrity.
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By Janet Levaux, AdvisorOne |
August 10, 2011
A judge gives final approval of an $80 million class-action settlement; other suits could still emerge, experts say
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By Janet Levaux, AdvisorOne |
July 28, 2011
While rumors persist about possible suitors for Securities America, Morgan Keegan and other broker-dealers on the market, experts say the pool of buyers has shrunk dramatically over the past few years.
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By Janet Levaux, AdvisorOne |
May 1, 2011
Anonymous sources insist advisors are leaving or planning to leave the firm.
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By James J. Green, AdvisorOne |
April 21, 2011
Settlement still needs court approval, claimants’ buy-in; no wrongdoing admitted by Securities America.
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By James J. Green, AdvisorOne, Janet Levaux, AdvisorOne |
April 13, 2011
The IBD tells its reps it is making “good progress” toward settlement over private placement securities.
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By Janet Levaux, AdvisorOne |
March 29, 2011
Mood of some Securities America advisors and experts remains cautiously hopeful, while others stay skeptical
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By Janet Levaux, AdvisorOne |
March 28, 2011
The environment at Securities America has deteriorated, with several advisors leaving this week and more set to leave soon, said a departing rep and a veteran recruiter.
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By James J. Green, AdvisorOne |
March 26, 2011
Independent BD, backed by parent Ameriprise Financial, says “all interested parties” have committed to a process to resolve legal issues.
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By Editorial Staff |
March 21, 2011
State securities regulators hail judge’s decision as protecting investors’ interests, but trouble looms for the broker-dealer, and perhaps for other BDs.