Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Morgan Stanley Settles Mortgage Case for $3.2 Billion
By Emily ZulzThe settlement addresses misconduct that contributed to the 2008 financial crisis, New York Attorney General Eric Schneiderman says.
February 09, 2016
AlphaSimplex Hires New Investment Committee AdvisorThe firm, founded by MIT professor Andrew Lo, has hired former SSGA CIO Alistair Lowe as senior advisor to its investment committee.
February 08, 2016
Hedge Fund Attacks Texas REIT as ‘Ponzi-Like Scheme’Hedge fund manager Kyle Bass is shorting the United Development Funding IV REIT, which was sold by RCS Capital.
February 04, 2016
How to Boost IRA Rollovers as DOL Fiduciary Rule Looms and Competition GrowsIf advisors want to attract more rollover assets, they need to offer more than just money management and asset allocation models, says Janus' Matt Sommer.
February 03, 2016
Recruiting Roundup: RBC Adds $4M Team in New YorkMeanwhile, Wells Fargo, Raymond James and LPL Financial announce their latest new advisors.
February 02, 2016
Aflac's earnings: 3 things executives said about producersThe company is working harder at expanding both its career agent and its broker distribution channels.
February 02, 2016
Aflac's earnings: 3 things executives said about producersThe company is working harder at expanding both its career agent and its broker distribution channels.
February 02, 2016
A Fiduciary Primer: What’s a Rep’s Responsibility to Clients?Questions from a veteran RIA and former broker reveal the lack of understanding among advisors of the fiduciary issue.