Securities America Inc.

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  2012 IA 25; Investing in Russia; Tech and ROI: May Investment Advisor—Slideshow

  By Editorial Staff  |  April 24, 2012

  May brings the 10th annual IA 25 (well, ninth if you don’t count our special 30th anniversary edition, “Thirty for Thirty,” in 2010), Investment Advisor’s editors’ pick of the 25 most influential people in the industry.

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  New Hire Roundup: Bowen Is Acting Chair at SIPC; Pologe Goes to Genworth

  By Marlene Y. Satter, AdvisorOne  |  February 29, 2012

  This week in new hires, Genworth welcomed David Pologe and David Ford joined Securities America.

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  Securities America Honors Advisor Assistant Who Saved Her Firm

  By Joyce Hanson, AdvisorOne  |  February 9, 2012

  Executive assistant Amanda Silkwood of Quintus Financial Services stepped up big time at her firm, and has been named Assistant of the Year by the broker-dealer.

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  New Hire Roundup: Oliner, Kleinke Join AEI; Bozek Advances at Prudential

  By Marlene Y. Satter  |  February 2, 2012

  This week in new hires, Stephen Oliner and JD Kleinke went to AEI; Joan Bozek was promoted at Prudential Retirement; Steven McKay and Joseph Kaplan went to Putnam Investments.

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  Securities America Agrees to Settlement in Massachusetts

  By John Sullivan, Advisorone  |  May 24, 2011

  Securities America, Inc., charged last year with improper sales of Medical Capital Notes in Massachusetts, has agreed to make full restitution to 63 Bay State investors, Secretary of the Commonwealth William Galvin said Monday.

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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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  ‘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.

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  Judge Rejects Securities America Class Action Settlement in Big Blow to BD

  By John Sullivan, Advisorone  |  March 20, 2011

  Provident, Medical Capital ruling has wider implications for broker-dealer industry.

• Securities America and Rep to Pay Over $1 Million in FINRA Fraud Case

  By Joyce Hanson, AdvisorOne  |  January 5, 2011

  A FINRA panel has resolved a dispute against Securities America Inc., Randall Ray Talbott and the now-defunct Medical Capital Holdings with an award of more than $1 million.