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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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July 25, 2009
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Blog, Securities Fraud
Steven Effron, registered as a financial advisor with Summit Brokerage Services, Inc. from July 2007 through March 2009, has been suspended from FINRA for a period of four months. Effron consented to the findings that while he was registered with Summit he engaged in outside business activities without notifying his
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