Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Can Brokers and Agents Act in Their Clients’ Best Interests?
By Bob ClarkA reader accuses me of unfairly comparing the dings of broker-dealer firms to those of RIA firms. I reply in my modest way.
January 06, 2017
Rising Student Debt Among Seniors Threatens to Wreck Their RetirementThe CFPB reports that nearly 40% of borrowers 65 and older, a fast-growing segment of student-loan debtors, are in default.
January 06, 2017
Former Investors Cap CEO Resurfaces After a Costly LessonThe former head of Investors Capital is relaunching his career after apparently losing money in the sale of his company to RCS Capital.
January 04, 2017
Raymond James Grabs $170M Morgan Stanley Rep: Recruiting RoundupMeanwhile, an RIA strikes out on his own; State Street and Eaton Vance share executive news.
January 04, 2017
NAILBA announces 2017 board, executive committeeJames Sorebo of Four Seasons Financial Group will lead the National Association of Life Brokerage Agencies (NAILBA) this year.
January 04, 2017
FINRA’s Top 5 Exam Priorities for 2017Advisors and broker-dealers have just received a cheat sheet of sorts from FINRA.
January 03, 2017
Eric Schwartz Steps Down as Cambridge CEOSchwartz emphasizes, I am not retiring from the independent broker-dealer that pioneered the BD fee-based business.
January 03, 2017
How to Add a Robo Without Cannibalizing Human Advice: CerulliThe latest Cerulli report raises the questions that traditional advisory firms should answer before embarking on a robo offering.