• On 21 May 2013, Moody’s announced rating actions on MBIA Insurance Corp., National Public Finance Guarantee Corp., MBIA Inc. and other related entities. Because of the large number of credits across several asset classes affected by these rating actions, including Moody's-rated securities that are guaranteed or "wrapped" by these companies, ratings appearing on this website may not yet reflect current information. For current information on affected credits, please visit www.moodys.com/fig.
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  • Al Bush

  • Vice President - Senior Analyst

  • Rating Team: Financial Institutions
    Office Address: Moody's Investors Service, Inc.
    250 Greenwich Street
    New York, NY 10007
    U.S.A.
    Office Location: NEW YORK
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  DateDocument TypeTitleIssuer/Entity
16 May 2013 Credit Focus Schwab, TD Ameritrade, and E*TRADE: Peer Comparison Charles Schwab ...
E*TRADE Financi...
TD Ameritrade H...
14 May 2013 Rating Action Moody's upgrades TD Ameritrade to A3 TD Ameritrade Holding Corporation
07 May 2013 Rating Action Moody's Affirms Ba2 Rating of LPL Holdings, Inc and Refinanced Senior Secured Credit Facility. LPL Holdings, Inc.
25 Apr 2013 Credit Opinion Scottrade Financial Services, Inc. Scottrade Financial Services, Inc.
15 Apr 2013 Credit Opinion American Capital, Ltd. American Capital, Ltd.
04 Apr 2013 Rating Action Moody's downgrades ConvergEx's CFR to B3 BNY ConvergEx G...
ConvergEx Holdi...
26 Feb 2013 Rating Action Moody's Assigns B1 Rating to Duff & Phelps Corporation Duff & Phelps Corporation
25 Feb 2013 Rating Action Moody's affirms Scottrade's rating, changes outlook to negative Scottrade Financial Services, Inc.
20 Feb 2013 Banking Statistics Raymond James Bank, FSB Raymond James Bank, FSB
20 Feb 2013 Banking Statistics Scottrade Bank Scottrade Bank
20 Feb 2013 Banking Statistics E*TRADE Bank E*TRADE Bank
15 Feb 2013 Credit Opinion E*TRADE Financial Corp. E*TRADE Financial Corp.
07 Feb 2013 Rating Action Moody's affirms E*TRADE ratings; outlook stable E*TRADE Bank
E*TRADE Financi...
05 Feb 2013 Credit Opinion TD Ameritrade Holding Corporation TD Ameritrade Holding Corporation
30 Jan 2013 Rating Action Moody's reviews TD Ameritrade Holdings Corporation for upgrade (Issuer Rating Baa1) TD Ameritrade Holding Corporation
30 Jan 2013 Announcement Moody's Comments on ConvergEx's Asset Divestiture Announcement BNY ConvergEx G...
ConvergEx Holdi...
28 Jan 2013 Credit Opinion GFI Group Inc. GFI Group Inc.
24 Jan 2013 Credit Opinion Ares Capital Corporation Ares Capital Corporation
23 Jan 2013 Rating Action Moody's withdraws Penson's ratings following bankruptcy Penson Worldwide, Inc.
18 Jan 2013 Rating Action Moody's Downgrades GFI Group, Inc to B1 GFI Group Inc.
16 Jan 2013 Credit Opinion Lazard Group LLC Lazard Group LLC
08 Jan 2013 Credit Opinion Raymond James Financial, Inc. Raymond James Financial, Inc.
04 Jan 2013 Credit Opinion LPL Holdings, Inc. LPL Holdings, Inc.
12 Dec 2012 Announcement Moody's reviews GFI Group (Senior at Ba2) for downgrade GFI Group Inc.
29 Nov 2012 Credit Opinion ConvergEx Holdings LLC ConvergEx Holdings LLC
08 Nov 2012 Announcement Moody's confirms B2 Corporate Family rating of ConvergEx Holdings, LLC; outlook changed to negative BNY ConvergEx G...
ConvergEx Holdi...
18 Sep 2012 Credit Opinion Oppenheimer Holdings, Inc. Oppenheimer Holdings, Inc.
31 Jul 2012 Rating Action Moody's assigns B2 rating to American Capital's $600 million proposed Senior Secured Term Loan Facility American Capital, Ltd.
26 Jul 2012 Rating Action Moody's downgrades ConvergEx Holdings, LLC to B2; ratings are under review for further downgrade. BNY ConvergEx G...
ConvergEx Holdi...
01 Jun 2012 Banking Statistics Raymond James Bank, FSB Raymond James Bank, FSB
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