Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
The Bonus Debate
By Bob ClarkMuch as I believe that investors everywhere would benefit from a level playing field between RIAs and brokers, the disclosure of recruiting bonuses would be over the top.
October 26, 2012
Baird Adds UBS Branch ManagerThe branch manager, Karen Heintz, oversaw 24 advisors with $3.1 billion in assets.
October 25, 2012
Raymond James Nabs $225M Wells RepThe veteran advisor, Mark Teed, joins its employee channel.
October 25, 2012
Principles vs. Rules: The Fiduciary Debate in a NutshellAt TD Ameritrade conference, CFA's Roper, IAA's Tittsworth and SIFMA's Carroll agree, disagree and look ahead at fiduciary standard, SRO for RIAs.
October 25, 2012
Ameriprise Gains Advisors, Boosts Assets"We had another good quarter, led by solid results in our advisory and asset management businesses, said Jim Cracchiolo, chairman and CEO.
October 25, 2012
SEC, FINRA Enforcement Roundup: Cantor Fitzgerald Hit by FINRAAmong recent SEC and FINRA actions were Cantor Fitzgerald being censured and fined and FINRA imposing a $14 million settlement on a Hong Kong-based firm charged with insider trading.
October 25, 2012
Bob Pozen, master of extreme productivity, shares his 3 most effective career tipsBob Pozen -- Harvard Business School lecturer, prolific author, financial-industry heavyweight -- tackles more in a month than you manage in a year (or something like that)
October 25, 2012
The State of Investor Trust, or Distrust, Fiduciary and the CFP BoardIs the argument over a fiduciary standard for all advice-givers, and the CFP Board's position on a fiduciary standard for CFPs, missing the bigger point?