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QA3 Financial Corp

QA3 Financial Corp News

    BD down: QA3 to close up shop next week  InvestmentNews

    It's been a rough patch for QA3. The indie B-D has battled an insurer over coverage for lawsuits. In January, the firm lost a sizable arbitration claim filed by an ...

    Two broker-dealers capitalize on QA3's demise  InvestmentNews

    Two broker-dealers have emerged as early winners in the fight over the 400 representatives affiliated with QA3 Financial Corp., which officially shut down Friday.

    Broker-dealers lack E&O; savvy  InvestmentNews

    At a time when litigation has threatened the financial viability of several securities firms, executives at independent broker-dealers, as well as the more than ...

    The comeback: Can brokers repeat original success?  InvestmentNews

    A S F. SCOTT FITZGERALD once wrote, there are no second acts in American lives. Well, Mr. Fitzgerald didn't have the securities industry in mind. In fact ...

    Berthel Fisher has new lease on life  InvestmentNews

    Since the credit crisis, the financial advice industry has been littered with the dead shells of IBDs that sold fraudulent private placements before the crash. Berthel ...