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May 12, 2011
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Blog, Securities Fraud
The Investment News recently announced the most profitable “indie” brokerage firms. They are as follows: Rank Firm Pre-tax earnings ▼ 1 LPL Financial LLC $106,217,515 2 H.D. Vest Financial Services $41,478,680 3 Crown Capital Securities LP $30,847,000 4 Axa Advisors LLC $21,300,000 5 Cambridge Investment
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November 26, 2010
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Blog, Securities Fraud
According to the Investment News, the following are the top broker-dealers (ranked by reps producing over $100,000): Click column headers to sort fields Rank Broker-dealer No. of reps 1 LPL Financial* 5432 • Associated Securities Corp. 121 • Mutual Service Corp. 547 • Waterstone Financial Group 275 2 AIG Advisor
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August 23, 2009
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Blog, Securities Fraud
According to FINRA, Marc Steven Broder was recently barred from FINRA and from associating with any FINRA member firm. The sanction was based on findings that Broder failed to respond to FINRA requestes for documents and information and failed to appear for invstigative testimony regarding its investigation into
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