Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Finding Your Client’s Place on the Efficient Frontier
By Gil WeinreichModern Portfolio Theory plays a role in academic finance, but for Dave Basten of API Funds, MPT plays a unique role in investment practice.
February 19, 2015
FINRA’s 5 Biggest Fine Categories in 2014FINRA fines more than doubled in 2014 even as the regulator filed fewer cases, according to the law firm Sutherland Asbill & Brennan.
February 18, 2015
The Medium Is the Message, When the Subject Is Investor ProtectionThe Committee for the Fiduciary Standard suggests mainstream media have an important role in investor protection, but I wonder if the emphasis is misplaced.
February 18, 2015
Eating our own: How compliance confusion cannibalizes common senseEthical behavior too often goes overboard, and ends up having the opposite effect. Heres how to ensure that doesnt happen.
February 12, 2015
If You Can’t Beat Robo-Advisors, Become OneAutoPilot aims to provide advisors with their own private-labeled automated asset management engine to neutralize the robo-advisor threat.
February 12, 2015
Merrill Lands $1.4B Ex-Morgan Stanley Team, AdvisorMeanwhile, LPL-affiliated Stratos Wealth recruits a former Morgan Stanley team and an ex-Wells Fargo rep.
February 12, 2015
Wall Street finally blinks in fiduciary standoffThe securities industry has done a masterful job of deflecting initiatives to force firms to act in clients' best interest. Is it different this time?
February 11, 2015
HD Vest Improves Tax Tool for AdvisorsEven advisors who don't do tax returns are using the tool to facilitate conversation with clients, HD Vest's Scott Rawlins says.