brokerage

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Latest blogosphere posts tagged “brokerage”

 

• J.P. Turner Investor Alert - Watch Out For Churning and Unsuitable Investments!

  
  — Authority:
  J.P. Turner & Co. is an independent broker-dealer headquartered in Atlanta, Georgia and reportedly has over 550 registered representatives across the United States operating in one or two person offices. Its branch offices are largely comprised of small producers earning commissions at higher pay out rates than ...
  2 days ago

• Goldman Named Americas Best Prime Broker

  
  — Authority:
  Goldman Sachs remains the Americas top prime broker, according to an annual survey. read more
  4 days ago

• Special Series: Dalbar Canada’s Direct Brokerage Service Award – Part II

  
  — Authority:
  Sparx Trading In part 1 of this series , we took a brief look at how self-directed investors typically access information about discount brokerage customer service and introduced Dalbar Canada’s research in this area.  Specifically, Dalbar’s Direct Brokerage Sales Effectiveness (DBSE) program measures the ...
  4 days ago

• Independent Financial Investor Alert - Watch Out For Churning and Unsuitable Investments!

  
  — Authority:
  Independent Financial Group LLC (Independent Financial) is an independent broker-dealer headquartered in San Diego, California and reportedly has over 500 registered representatives across the United States operating in one or two person offices. Its branch offices are largely comprised of small producers earning ...
  5 days ago

• IMS Securities Investor Alert - Watch Out For Churning and Unsuitable Investments!

  
  — Authority:
  IMS Securities, Inc. / IMS Financial Advisors, Inc. is an independent broker-dealer headquartered in Houston, Texas and reportedly has over 100 registered representatives across the United States operating in one or two person offices. Its branch offices are largely comprised of small producers earning commissions at ...
  5 days ago

• TD Ameritrade up to $2,500 in Rewards with Deposit or Transfer for Targeted Customers

  
  MaximizingMoney.com — Authority: 120
  TD Ameritrade is offering a targeted promotion for up to $2,500 in gift cards and other rewards when you make a qualifying deposit or transfer to a new or existing TD Ameritrade account by July 12, 2013. The fine print for this offer indicates that it is for pre-selected clients, but it looks like you will be ...
  5 days ago

• About Online Trading

  
  — Authority:
  The invention of the Internet has brought about many changes in the way that we conduct our lives and our personal business. We can pay our bills online, shop online, bank online, and even date online! We can even buy and sell stocks online. Traders love having the ability to look at their accounts whenever they want ...
  5 days ago

• Weekly Domain Brokerage Listings – 6/12

  
  — Authority:
  Listed below are the weekly domain brokerage listings from several domain brokers and domain brokerages. If you have an interest in one of the names below, contact the broker directly to transact. You are welcome to post one name for sale in the comment section. As always, the name must be new to the market (not ...
  6 days ago

• Hornor Townsend & Kent Investor Alert - Watch Out For Churning and Unsuitable Investments!

  
  — Authority:
  Hornor Townsend & Kent, Inc., a subsidiary of the Penn Mutual Life Insurance Company, is an independent broker-dealer headquartered in Horsham, Pennsylvania and reportedly has over 800 registered representatives across the United States operating in one or two person offices. Its branch offices are largely ...
  6 days ago

• Former Resource Horizons Group Broker Barred From Industry

  
  — Authority:
  On June 11, 2013, the Securities & Exchange Commission (SEC) entered a consent order against former Resource Horizons Group broker Robert A. Gist (AKA Bob Gist) enjoining him from future violations of the securities law and permanently barring him from the financial industry. FINRA had filed an action alleging ...
  6 days ago

• FINRA Orders Merrill to Pay $2 Million on Unsuitable Investments

  
  — Authority:
  On June 4, 2013, the Financial Industry Regulatory Authority (FINRA) fined Merrill Lynch Pierce Fenner & Smith (successor for Banc of America Investment Services, Inc.) $900,000  and ordered them to reimburse $1.1 million in losses to 214 customers for losses incurred from unsuitable sales of floating-rate bank ...
  6 days ago

• FINRA Fines Wells Fargo $1.25 Million for Unsuitable Investments

  
  — Authority:
  On June 4, 2013, the Financial Industry Regulatory Authority (FINRA) fined Wells Fargo Advisors, LLC (successor for Wells Fargo Investments, LLC) $1.25 million and ordered them to reimburse $2 million in losses to 239 customers for losses incurred from unsuitable sales of floating-rate bank loan funds. Here is a link ...
  6 days ago

• RSL Investigating Commonwealth Income & Growth Funds

  
  — Authority:
  Rex Securities Law (RSL) is investigating the sale of the Commonwealth Income & Growth Funds by brokerage firm Commonwealth Capital Securities Corp to determine if there was adequate due diligence performed prior to recommending the purchase of this investment. These investments may be considered risky and ...
  6 days ago

• Forex is a decentralized money market. It can also be

  
  aggregate news — Authority: 134
  Forex is a decentralized money market. It can also be described as a market where the trading of currencies between two countries takes place. It is a global platform where worldwide financial centres act as the pillars of trading through which buyers and sellers can conduct transactions of foreign exchange. This ...
  6 days ago

• Mariner Access & Mariner 2X Access Investment Losses?

  
  — Authority:
  Rex Securities Law is investigating the sale by Merrill Lynch Pierce Fenner & Smith of Mariner Access and Mariner 2X Access hedge funds. Merrill Lynch brokers raised hundreds of millions of dollars selling these alternative investments. These funds have lost significant value, in some cases over 70%. Hedge fund ...
  6 days ago

• Harbor Financial Services Investor Alert - Watch Out For Churning and Unsuitable Investments!

  
  — Authority:
  Harbor Financial Services, LLC is an independent broker-dealer headquartered in Mobile, Alabama and reportedly has 85 registered representatives across the state operating in one or two person offices. Its branch offices are largely comprised of small producers earning commissions at higher pay out rates than the ...
  6 days ago

• The Mortgage Adviser

  
  UK Finance Insurance Business Resources — Authority: 97
  Mortgage Adviser A mortgage adviser is a person who acts as an intermediate between the customer and the client and brokers mortgage loans on behalf of an individual or a businessman. Traditionally, it has been observed that all the banks and various lending institutions have sold all their belongings. Also, in the ...
  6 days ago

• Girard Securities Investor Alert - Watch Out For Churning and Unsuitable Investments!

  
  — Authority:
  Girard Securities, Inc. is an independent broker-dealer headquartered in San Diego, California and reportedly has over 300 registered representatives across the United States operating in one or two person offices. Its branch offices are largely comprised of small producers earning commissions at higher pay out rates ...
  1 week ago

• GBS Financial Investor Alert - Watch Out For Churning and Unsuitable Investments!

  
  — Authority:
  GBS Financial is an independent broker-dealer headquartered in Santa Rosa, California and reportedly has over 75 registered representatives across the United States operating in one or two person offices. Its branch offices are largely comprised of small producers earning commissions at higher pay out rates than the ...
  1 week ago

• Lehman to sell off more claims for $813.6M

  
  — Authority:
  Lehman Brothers Holdings previously reached deals to sell $5.28 billion of its claims against Lehman Brothers Inc. through an auction and an additional sale.
  1 week ago

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