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By Marlene Y. Satter, AdvisorOne |
March 28, 2012
This week in new hires, Donald Swartz went to BondDesk; Jamie Kosharek advanced at Raymond James; and Pinnacle made Michael Kitces a partner.
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By Melanie Waddell, AdvisorOne |
September 29, 2011
FINRA announced Thursday that it had ordered Raymond James & Assoc. and Raymond James Financial Services to pay restitution of $1.69 million to more than 15,500 investors who were charged unfair and unreasonable commissions on securities transactions.
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By Joyce Hanson, AdvisorOne |
February 3, 2011
Raymond James announced that it has hired two Baton Rouge, La.-based financial advisors, Tom Breaux and Ian James, both of them veterans of large wirehouse firms.
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By Staff Writer |
June 1, 2009
The Financial Industry Regulatory Authority (FINRA) is proposing a major expansion of its BrokerCheck service which would make records of final regulatory actions against brokers...
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By John Sullivan, Advisorone |
November 1, 2008
Which broker/dealers are getting it right? We asked readers about technology, wealth management offerings, practice management help and -- of course -- payout to gauge...
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By Staff Writer |
July 1, 2008
The Board of Directors of Putnam Investments announced that Robert "Bob" Reynolds has been named president and CEO of Putnam Investments. Charles "Ed" Haldeman, current...
