RJ and Makay

Thursday, May 24th

Open Positions | Careers | Privacy Policy | Bookmark | FAQ | Contact Us  

You are here: Tags National Financial
http://www.rjandmakay.com/components/com_gk2_photoslide/images/thumbm/537321header_1.jpg http://www.rjandmakay.com/components/com_gk2_photoslide/images/thumbm/963038header_2.jpg http://www.rjandmakay.com/components/com_gk2_photoslide/images/thumbm/981787header_3.jpg http://www.rjandmakay.com/components/com_gk2_photoslide/images/thumbm/923473header_4.jpg

RJ & Makay

Our view of news, events and human capital trends in the financial services industry.
Tags >> National Financial

FINRA fines and censures Merrill, LPL, National Financial and Van Kampen

Posted by RJ and Makay on Sep 30, 2011

>> Read More RJ & Makay Blog Posts

The Financial Industry Regulatory Authority (FINRA) earlier this month fined and disciplined Merrill Lynch, LPL Financial, National Financial Services, and Van Kampen Funds.  The four financial services firms were censured and fined for various violations, and FINRA ordered them to perform a number of remedial actions.

Broker-Dealers and RIAs gearing up hiring: Fidelity

Posted by RJ and Makay on May 25, 2011
>> Read More RJ & Makay Blog Posts

About 75% of U.S. broker-dealer and independent RIA firms are planning to hire up to 30% more employees over the next 12 months, according to a new Fidelity Investments survey.

Firm executives plan to recruit new brokers and advisors who have existing books of business.  19% of executive respondents plan to help existing staff transition into broker and advisory positions.