Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Schorsch Firms Settle Differences on Scuttled Cole Deal
By Janet LevauxRCS Capital settled with ARCP in a deal worth $60 million after backing out of a $700 million deal in October, the firms said.
December 02, 2014
Six Do’s and Don’ts for Advisor Due DiligenceThe key is to tailor a due diligence program to your specific practice and the potential risk posed by each third-party service provider.
December 01, 2014
Raymond James Adds Ex-LPL Group in N.J.Boutique wealth groups add teams in Arizona and Iowa.
November 26, 2014
How Fiduciary Advisors Can Change Wall Street—AgainRon Rog and NAPFA pushed, and the public pulled, big brokerages to adopt an AUM model. The same can be done with a fiduciary standard.
November 25, 2014
‘Faulty’ Analysis Could Torpedo an SEC Fiduciary Rule: AdvocatesSECs analysis on a fiduciary rule must be thorough and well-reasoned, as a faulty analysis could doom or further delay prospects for reform.
November 24, 2014
Schorsch Unit Draws State Regulator's ScrutinyMassachusetts regulators are investigating Realty Capital Securities, a spokesperson said in early November.
November 24, 2014
Are Privately Owned Broker-Dealers a Dying Breed?With the recent sales of broker-dealers, have you noticed how many BDs in the top 50 are privately owned?
November 24, 2014
RCAP Says Some Selling Deals Have Resumed as Execs Buy Company StockThe nontraded REIT distributor stays mum on which broker-dealers have changed their sales policies on ARCP products.