Ameriprise Financial Inc. last week put on the block one of the most prominent independent broker-dealers in the industry, its subsidiary Securities America Inc., but no clear buyer has emerged.

Securities America Inc. has made a splash in the roiling mergers and acquisitions market for independent broker-dealers, and it could make more waves soon. The independent-broker-dealer subsidiary of ...

FINRA Orders Securities America to Pay $2 Million in Restitution to Customers, Fines Firm $1 Million for Mutual Fund Supervision Failures Firm Failed to Reasonably Supervise Recommendations That ...

Osaic has agreed to pay about $3 million to resolve allegations that Securities America, which joined the wealth management firm last year, overcharged clients for mutual fund fees. It’s the latest ...

LPL Financial has recruited a Securities America financial advisor who managed about $110 million in brokerage, advisory and retirement plan assets to join its broker-dealer, corporate registered ...

FINRA has ordered Securities America, Inc. to pay $2 million in restitution to its customers and has fined the firm $1 million for failing to reasonably supervise Class A mutual fund recommendations, ...