BDs Increasing Protection Against Cyber Breaches, Survey Finds
'Some firms have been the subject of benign incidents but haven’t realized it yet,' says Sutherland's Rubin.
March B/D Briefs: News & Products
Commonwealth Financial Network announced in late January that Wayne Bloom, its managing principal of wealth management, will succeed Chairman Joseph Deitch as CEO effective immediately...
The SEC announced that Charles Fishkin, who helped create the Commission's Office of Risk Assessment under then-Chairman Bill Donaldson in 2004, will leave the Commission...
The Price of Being Small
When Lon Dolber opened the doors of his broker/dealer on September 11, 2001, he was as shocked as anyone by the events of the day,...
A B/D Where Technology is King
Lon Dolber, the founder and CEO of American Portfolios Financial Services in Holbrook, New York, sees himself not only as the head of a broker/dealer,...
An Airborne Broker/Dealer
Lon Dolber manages his new B/D firm the same way S