Janine Wertheim

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  2011 Advisor Hall of Fame

  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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  Securities America Settlement May Speed Up Its Sale

  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

• Few Buyers for Exiting Broker-Dealers

  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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  Securities America Denies Charges of Departing Reps

  By Janet Levaux, AdvisorOne  |  May 1, 2011

  Anonymous sources insist advisors are leaving or planning to leave the firm.

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  Ameriprise to Pay $150 Million to Settle Securities America Charges

  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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  Securities America, Ameriprise Said to Be Near Settlement With Plaintiffs

  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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  Securities America’s Calls With FAs Focus on ‘Progress’

  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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  Securities America 'Deteriorating,' Rep Says, but Company Denies It

  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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  ‘Substantial Progress’ Reported in Securities America Mediation Talks

  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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  Rejection of Securities America Settlement Has Wide-Ranging Implications

  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.