Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
JPMorgan CEO Meets With Attorney General Amid MBS Charges
By Pete YostA government official familiar with ongoing negotiations said an $11 billion national settlement is under review to resolve claims against JPMorgan.
September 24, 2013
$3.2 Million Team Comes Back to Securities AmericaCiting "cultural differences," Wayne Maier and his team split from National Planning Corp. after six years.
September 20, 2013
BD Stocks: What to Expect as QE Rolls OnCiti analysts say some broker-dealers could weaken in the short term thanks to the Fed's latest move, while some asset managers may strengthen.
September 19, 2013
Morgan Stanley Grabs 5 Reps, 1 Branch LeaderThe new additions, who came over from rival firms, have some $4.8 million in production and $730 million in client assets.
September 18, 2013
Making Sense of the Nonsensical Broker Comp RuleThe new transition compensation disclosure rule will not apply to transition incentives totaling less than $50,000and that's a problem.
September 17, 2013
Morgan Stanley, Raymond James Name Regional HeadsMeanwhile, Merrill Lynch and Wells Fargos independent-advisor unit share their latest recruiting news
September 17, 2013
It's Time for Congress to Ban Forced Arbitration for InvestorsThe Investor Choice Act would level the playing field for ordinary investors by prohibiting mandatory pre-dispute arbitration agreements in BD and advisor customer contracts.
September 16, 2013
Cerulli projects contraction in number of advisorsThe force of the financial advisory field is expected to decline 8 percent by year-end 2017.