Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
A Slingshot for David(s)?
By James J. GreenOver the years in this space, Ive pleaded for independent advisors and their associations to dispense with infighting to advocate for their shared constituencies.
November 24, 2015
Recruiting Roundup: UBS, Others Nab More Credit Suisse RepsMeanwhile, Raymond James recruited a group of breakaway brokers and several Wells Fargo FAs.
November 23, 2015
Currency Spoofing Is Said to Be in New York’s CrosshairsAttorney General Schneiderman's office said to be investigating placing of fake foreign-exchange orders, known as "spoofing" or "ghosting."
November 23, 2015
Broker-dealer advisors at historic crossroadsWith or without the DOL's urging via its fiduciary rule, the market suggests the end is near for the broker-dealer advisor business model.
November 23, 2015
Broker-dealer advisors at historic crossroadsWith or without the DOL's urging via its fiduciary rule, the market suggests the end is near for the broker-dealer advisor business model.
November 20, 2015
CMS hates some agents and other draft 2017 PPACA parametersA batch of draft regulations may also create a new family of standardized options plans.
November 19, 2015
Schwab, Fidelity Halt Sales of RCS, AR Capital Products, AgainThis news follows a recent decision by AR Capital to stop issuing new investment programs starting Jan. 1.
November 19, 2015
AIG Advisor Group for sale: Who's likely to buy it?With Cetera also up for grabs, who could pounce on the latest IBD to hit the market?