Medical Capital

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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

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  Succession Planning: BD vs. RIA; What Really Moves Markets: July Investment Advisor—Slideshow

  By Editorial Staff  |  June 27, 2011

  July brings our succession planning issue.

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  2011 Investment Advisor Broker-Dealer Reference Guide

  By John Sullivan, AdvisorOne  |  June 1, 2011

  To say it’s a time of flux in the broker-dealer and independent advisory industries doesn’t do it justice.

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  2011 Q1 Earnings: Ameriprise Says Profits Rise, Will Sell Securities America

  By Janet Levaux, AdvisorOne  |  April 25, 2011

  Ameriprise Financial, which released its first-quarter earnings late Monday, said it was looking to sell Securities America, its troubled broker-dealer. Ameriprise also took a $77 million charge against its earnings in Securities America legal matter.

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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.