Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Why It’s So Hard for Brokers to Act in Clients’ Best Interests
By Bob ClarkA study covered in "Freakonomics" confirms: There is more money to be made taking advantage of investors than there is acting in their best interest.
June 02, 2015
Voting Begins for 25th Annual Broker-Dealers of the YearReps of independent broker-dealers can cast their ballots, rating how wellor poorlytheir own BDs behave in annual Investment Advisor reader poll.
June 01, 2015
The 2015 Broker-Dealer Presidents PollBroker-dealer presidents are fierce competitors, and while they may cooperate in areas of advocacyas they do notably as members of the Financial Services Institutethey all want nearly the same representatives.
June 01, 2015
LPL Names Former E-Trade Exec CFOThe firm is filling a slot vacated by Dan Arnold in early May when he replaced Robert Moore as president.
June 01, 2015
Barclays U.S. Wealth May Fetch $250 Million, Credit Suisse SaysStifel Financial is reportedly in a deal to acquire the firm's roughly 250 financial advisors.
June 01, 2015
HighTower Group to Target Athletes, CelebritiesSome advisors, though, say it's better to focus on pro athletes from a single sport rather than targeting all VIPs.
June 01, 2015
FINRA BrokerCheck Ad Campaign Supported by Huge Fine VolumeFINRA's $3.5 million campaign compares hiring a broker without checking BrokerCheck to other "leap-before-you-look" mistakes.
June 01, 2015
Best Firms for Self-Directed Investors: J.D. Power—2015The latest survey finds that do-it-yourselfers want access to top tools, human advisors and clear information on fees.