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Registered Rep. May 5, 2010 Kristen French	Small B/Ds in A Crunch, Expect More Closures, Mergers In 2010 Squeezed by investor lawsuits, rising compliance and insurance costs, as well as departing advisors and clients, some of the industry's smallest independent broker/dealers are struggling to stay afloat.
Registered Rep. March 22, 2010 Christina Mucciolo	FINRA Closes GunnAllen, Next Step Uncertain FINRA shut down Gunn Allen Financial Monday morning for failing to meet net capital requirements.
Registered Rep. October 1, 2005 John Churchill	Growth at a Price While nobody is accusing GunnAllen of running a crooked business, the firm's growth strategy has translated to a reputation for hiring a relatively high proportion of reps with heavily marked up U4s, including some who have received criminal complaints.
Registered Rep. August 29, 2014 Diana Britton	One Strike, You're Out When it comes to the world of independent broker/dealers, the Financial Industry Regulatory Authority is cracking down. Its stated 2014 priority is to focus its regulatory firepower on "high-risk" brokers.
On Wall Street July 1, 2010 Alan J. Foxman	Dueling Investigators Advisor Q&A: Why must agencies duplicate investigatory efforts?... Should I worry about reps picking up bad habits from old firms?...
Financial Advisor March 2012 Eric Rasmussen	Swimming In Shallow Water Broker-dealers face a stagnant rep pool, shrinking margins and the choke hold of regulators. But it's been a boon to the biggest consolidators.
Financial Planning May 1, 2012 Jennifer Woods Burke	Gotcha! Audits Get Tougher This year, the SEC and FINRA launched a webinar for firms detailing their expectations and reaffirming that whether a firm is large or small, regulators expect the same level of diligence when it comes to audits.
On Wall Street September 1, 2010 Alan J. Foxman	Ponzi Schemes And Problems Paying Fines Q&A: What does it mean for advisors that records are now available to the general public online?... How will arbitration payments I must make but cannot afford right now affect my license?... more...
Investment Advisor January 1, 2011 Marlene Y. Satter	Sitting Tight 2010 will be remembered by broker/dealer recruiters as 'The Year of Going Nowhere.'
Financial Planning June 1, 2010 Paul Menchaca	Survivor Island Firms that endured the worst of the financial crisis and lived to tell about it.
Financial Advisor November 2010 David Lawrence	Back In The Fold? Will the new regulations force independents to return to broker-dealers?
Investment Advisor May 1, 2011 John Sullivan	Catching up with... Joe Richard "The difference is we're smaller," says Joe Richard, when asked what, specifically, Wall Street Financial Group does better than anyone else.
Investment Advisor June 1, 2011 John Sullivan	2011 Broker-Dealer Presidents' Poll--Slideshow Broker-dealer recruiting expert Jon Henschen talks about the state of the industry, what it means for reps and what it means for clients.
Financial Planning March 1, 2011 Larry Light	The Tradeoff Registered investment advisors may end up getting to know a new regulator, but the tougher fiduciary standard they live under will also be extended to cover their broker-dealer rivals.
Investment Advisor April 2009	B/D Briefing: News & Products The latest from the broker/dealer world.
Financial Advisor November 2008 Raymond Fazzi	Disclose, Baby, Disclose Firms such as Schwab, Fidelity, LPL and Raymond James have made no secret of their desire to take advantage of the distress on Wall Street by luring top producers from Merrill Lynch and other troubled wirehouses.
Financial Planning June 1, 2009 Paul Menchaca	Oh, the Drama The broker-dealers who spoke to Financial Planning in this year's annual survey are busy negotiating the downturn by improving their infrastructure, expanding through recruitment and eyeing an economic rebound.
Investment Advisor September 2009 James J. Green	Chosen: 2009 Broker/Dealers of the Year The firms given the highest ratings among their peers by their own reps in the 19th annual Broker/Dealer of the Year balloting.
Registered Rep. June 4, 2012 Lauren Barack	The Fishbowl Effect As financial advisor ratings websites like BrightScope and Advice IQ proliferate, advisors are going to have to get comfortable with having their records a click away from clients and prospects.
Registered Rep. March 23, 2011 Philip Palaveev	How To Handle An Imploding Broker/Dealer As we watch one independent broker/dealer after another succumb to regulatory action, financial problems or consolidation, many advisors are questioning the security of their very livelihoods.
Financial Planning March 1, 2011 Bob Veres	Gold Into Straw In mid-January, the SEC released its "Study on Investment Advisers and Broker-Dealers" to Congress. Analyzing the study provides an insightful look into how the SEC views the "harmonization" of two different regulatory structures.
Financial Planning June 1, 2007 Elizabeth O'Brien	FP50: Small Wonders Smaller broker-dealers vow to retain their personalized service as they pursue ambitious goals.
Financial Planning June 1, 2005 Juliette Fairley	FP50: Angst Over Compliance As financial advisory firms struggle to manage a raft of new regulations, they are banding together to rein in the rule-makers.
Investment Advisor June 2008 Kathleen M. McBride	Independents' Optimism Broker/dealer advisory board members say things are looking up in the industry.
Financial Planning October 1, 2011 Jennifer Woods Burke	The Risk of Hide and Seek Advisors are often guiding clients through financial nightmares rather than living their own. But a FINRA enforcement action this year demonstrates how easily your career can slip away if you don't properly disclose financial troubles.
The Motley Fool May 11, 2011 Selena Maranjian	Sneak a Peek at Your Broker's Record Find out whether your broker has been in trouble.
Registered Rep. April 1, 2008 John Churchill	The Failure Chain Consider the curious and rather grotesque case of Gary J. Gross, a financial advisor from Boca Raton, Fla. Gross' U4 is close to 100 pages long, and lists 35 customer complaints.
Financial Advisor July 2009 Sherri Scordo	Compliance Concerns There's a lot of buzz these days about potential changes in compliance rules and the impact on advisors.
Investment Advisor January 2006 Kathleen M. McBride	Balancing Act The broker/dealer model is changing, spurred by business and regulatory pressures, and reps may stop talking to their clients.
Registered Rep. August 24, 2012 Diana Britton	The New Velvet Rope? B/D Admissions Down Dramatically It's become increasingly difficult for small broker/dealers to break into the business, as regulations increase.
Registered Rep. February 1, 2006 Kristen French	Both Sides Now Brokers who hold dual licenses -- both the Series 7 and Series 65 licenses -- will have to take fiduciary responsibility on some accounts. But they can also sell investments, after they make it crystal clear that they're doing so.
Financial Planning October 1, 2010 Brian Hamburger	Regulation Season A look forward at the real effects of regulatory change - and they could be as unattractive as they are expensive.
Financial Planning June 1, 2007 Marshall Eckblad	The United Way The FPA's unexpected victory could pave the way to new regulations that cover both brokers and investment advisors.
Registered Rep. November 5, 2012 Diana Britton	Defying the Odds It's orthodoxy that small IBDs won't be able to stay in business given the unprecedented increase in regulatory and technology costs. Yet some tiny firms are bucking the trend. Here's how they're doing it.
Financial Advisor June 2009 Jeff Schlegel	Money In Motion The economic crisis has wreaked havoc on wirehouses, and more advisors are looking for new opportunities.
On Wall Street October 1, 2008 Alan J Foxman	Heightening Supervision Advisory firms have flexibility in creating plans to supervise brokers who have a history of complaints or disciplinary issues.
Registered Rep. April 16, 2008	Former Gunnallen Broker Accused of a Ponzi Seven investors who say they were the victims of a Ponzi scheme by a former GunnAllen rep have filed an arbitration claim against the Tampa firm.
Financial Advisor July 2011 Andrew Gluck	Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance.
Financial Advisor August 2012 Karen DeMasters	The Great Migration Though they aren't moving as fast as they were a few years ago, advisors are still in play for independent broker-dealers.
Financial Advisor September 2005 Bruce W. Fraser	How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process.
Financial Planning June 1, 2008 Donald Jay Korn	All Systems Go Clients and income hold steady in the financial services industry.
Registered Rep. January 1, 2005 David A. Gaffen	Third Time Is a Harm A NASD proposal first announced in 2003 requires that reps with three or more formal complaints against them receive extra supervision from their firms. Most major broker/dealers are already operating as if the rule were in place.
Investment Advisor September 2008 James J. Green	You're the Tops In a comprehensive face-to-face discussion, the leaders of the Broker/Dealers of the Year explain their firms' unique charisma and how they plan to remain at the summit of their professions.
Registered Rep. February 14, 2014 Patrick Mahoney	Both Costly and Ineffective? This week FINRA's Board of Directors authorized FINRA to seek comment on a proposed rule that would require firms to "include a readily apparent reference and link to BrokerCheck" on their websites.
Registered Rep. November 1, 2007 Erik Kolb	Fighting The Brand X Syndrome How do independent advisors choose a broker/dealer firm to work for? Since most firms offer similar services, the decision usually comes down to "squishy" qualitative factors, like feel, culture and personal touch.
On Wall Street June 1, 2009 Lauren Barack	FINRA's Push for Greater Broker Oversight With the public's distrust of the financial community in overdrive, FINRA hopes to make disciplinary records permanently available on its BrokerCheck site.
Financial Planning January 1, 2012 Donna Mitchell	Hot Topics SEC enforcement actions... Heartland hails dividends... Regulatory changes & volatility top concerns for retirement advisors...
On Wall Street September 1, 2013 Kenneth Corbin	Money Laundering Among Regulators' Top Priorities Now is the time to bone up on your firm's anti-money laundering policies and learn how to spot the funny money.
Financial Planning May 1, 2011 Bob Veres	To the World of 2020 I'm writing this column to help you address the issue on the minds of investors and consumers everywhere in your future day and age: How can we finally fix the regulatory system after the latest traumatic events shook the markets to their core?
Registered Rep. June 19, 2012 Diana Britton	Whose Suitability Standards? In early 2011, the SEC completed a study, mandated under Dodd-Frank reform legislation, which recommended extending to brokers who advise retail clients the same fiduciary standard that now applies to investment advisors.