Securities America Inc.

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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.

• Don't tolerate emotion in your clients' decision-making

  By Paul R. Lofties  |  May 1, 2010

  The bull market that ended in 2008 led many investors to grossly overestimate their tolerance for market risk, and the subsequent decline became an eye-opener...

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  Time for a Transition (V): Ramp Up Your Marketing Plans in 2010

  By Marie Swift  |  January 13, 2010

  Here are three resolutions FAs should tackle in 2010 to improve the market share of their newly independent and other advisory practices.

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  Time for a Transition (I): Changing Affiliation

  By Marie Swift  |  September 22, 2009

  Marie Swift outlines the options available to advisors and the key points worth considering when making a move.

• Iron Man

  By Jane Wollman Rusoff  |  November 1, 2008

  It was always James D. Nagengast's plan -- after eighty-sixing a teenage notion to be a doctor, lawyer or computer scientist -- to turn a...

• Building Collaboration

  By Savita Iyer-Ahrestani, AdvisorOne, Savita Iyer-Ahrestani, AdvisorOne  |  June 1, 2007

  Reps of Securities America Inc. are thrilled with the company's new initiative, a knowledge-sharing and peer support program called AskSamX, which makes use of the...

• A Round of Transitions

  By Marie Swift  |  February 1, 2007

  How would you feel if a prospective client stood up in the middle of a conversation, slammed his fist down on the table, and let...

• The 72(t) Solution

  By Janet Aschkenasy  |  December 1, 2006

  Imagine you could turn all of your Baby Boomer clients on to a somewhat arcane section of the IRS Code that allowed them to withdraw...

• A Woman's Touch

  By Nancy R. Mandell  |  May 1, 2006

  "Why can't a woman be more like a man?" moaned Prof. Henry Higgins in one of My Fair Lady's memorable moments. If Higgins were in the...