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- Warburg Invests $125 Million in Broker-Dealer Start-Up Cortview - BusinessWeek
published on Fri, 03 Sep 2010 13:41:30 GMT+00:00
Warburg Invests $125 Million in Broker-Dealer Start-Up CortviewBusinessWeek3 (Bloomberg) -- Warburg Pincus LLC is investing $125 million in a new broker-dealer as private-equity firms seek to profit from shifts in the financial ...and more » - Greenberg's Aquiline backs broker-dealer CRT Capital - Ct Post
published on Thu, 02 Sep 2010 01:44:50 GMT+00:00
Greenberg's Aquiline backs broker-dealer CRT CapitalCt PostAn Aquiline fund will invest $225 million in CRT Capital Group, broker-dealer with almost 1000 institutional clients. CRT Capital Group, led by Ben ...Aquiline Leads $225 Million Deal For Broker-Dealer CRTNASDAQAquiline Invests $225M In CRT CapitalEmii.comAquiline Capital Partners Leads $225 Million Investment in CRT Capital GroupBusiness Wire (press release)all 17 news articles » - EnnisKnupp drinks the Kool-Aid - Forbes (blog)
published on Thu, 02 Sep 2010 17:24:53 GMT+00:00
Forbes (blog)EnnisKnupp drinks the Kool-AidForbes (blog)As Forbes reported recently, that assertion is now history; Hewitt also owns a securities broker/dealer paid to push product. Moreover, Hewitt has a pending ...and more » - BNY Mellon Boosts Broker-Dealer Services - Emii.com
published on Wed, 01 Sep 2010 07:21:32 GMT+00:00
HedgeCo.netBNY Mellon Boosts Broker-Dealer ServicesEmii.comBNY Mellon Broker has appointed John Vinci and Andrew Demko for its broker-dealer services business. The duo will be working under James Malgieri, ...BNY Mellon Broker-Dealer Services Appoints John Vinci and Andrew Demko to New ...PR-CANADA.net (press release)all 34 news articles » - Extend fiduciary duty to broker-dealers: NASAA - Investment Executive
published on Tue, 31 Aug 2010 19:55:04 GMT+00:00
Extend fiduciary duty to broker-dealers: NASAAInvestment ExecutiveNASAA says that studies have shown that the public is confused about the distinction and mistakenly believes that broker-dealers already act as fiduciaries. ...US Broker Group Weighs In On Fiduciary StandardWall Street JournalOld foes in the fiduciary debate join new battle to sway SEC's six-month studyRIABizFinancial Planning Coalition Asks SEC to Require Fiduciary Standard of Care to ...PR Newswire (press release)Huffington Post (blog) -Investment Advisor -National Underwriter Life and Health Insurance Newsall 32 news articles » - SIFMA quietly pleads for delay of changes to fiduciary standard - InvestmentNews
published on Thu, 02 Sep 2010 20:34:45 GMT+00:00
SIFMA quietly pleads for delay of changes to fiduciary standardInvestmentNews?If a uniform standard of care cannot be applied and supervised in a practical manner, broker-dealers will likely significantly curtail offering certain ...NAIFA Letter Protests SEC Fiduciary ProposalNational Underwriter Life and Health Insurance NewsSEC Sets Rule for Muni FAsBond BuyerIIABA Challenges 'Universal Fiduciary Standard' For Investment Products SaleNational Underwriter Property And Casualty Insurance NewsInsurance News Net (press release) -Bloomberg -Financial Advisor Magazineall 23 news articles » - BNY Mellon Broker-Dealer Services Appoints John Vinci and Andrew Demko to New ... - PR Newswire (press release)
published on Tue, 31 Aug 2010 12:00:43 GMT+00:00
BNY Mellon Broker-Dealer Services Appoints John Vinci and Andrew Demko to New ...PR Newswire (press release)31 /PRNewswire-FirstCall/ -- BNY Mellon Broker-Dealer Services has appointed John Vinci as its head of Global Product Management and Strategy and Andrew ...and more » - Gleacher & Company Welcomes Another Addition to Equity Healthcare Team - MarketWatch (press release)
published on Fri, 03 Sep 2010 12:06:25 GMT+00:00
Gleacher & Company Welcomes Another Addition to Equity Healthcare TeamMarketWatch (press release)NEW YORK, Sep 03, 2010 (BUSINESS WIRE) -- Gleacher & Company Securities, Inc., a broker-dealer subsidiary of Gleacher & Company, Inc. (NASDAQ:GLCH) , today ...GLEACHER : & Company Welcomes Another Addition to Equity Healthcare Team4-traders (press release)all 11 news articles » - Provident Royalties exec pleads guilty in $485M fraud - InvestmentNews
published on Wed, 01 Sep 2010 19:13:38 GMT+00:00
Provident Royalties exec pleads guilty in $485M fraudInvestmentNewsMore than 60 independent broker-dealers sold the private placements issued by Provident Royalties, which the Securities and Exchange Commission last summer ...and more » - ING Prime Rate Trust Announces Intended Redemption of Auction-Rate Preferred ... - PR Newswire (press release)
published on Fri, 03 Sep 2010 13:01:33 GMT+00:00
ING Prime Rate Trust Announces Intended Redemption of Auction-Rate Preferred ...PR Newswire (press release)The procedures used by broker-dealers to allocate redeemed shares among beneficial owners may differ from each other as well as from the procedures used by ...and more »