Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
The 2013 Broker-Dealers of the Year: Time to Vote
By James J. GreenOur 23rd annual reader poll is now open for business. Rate your own broker-dealer, and tell everyone (anonymously, of course) what you wish your firm offered.
June 10, 2013
Pershing’s Collaborative Culture and CEO DeCicco’s PrioritiesIn an interview during Insite 2013, CEO Ron DeCicco and COO Lisa Dolly discuss the custody and clearing firms priorities and human capital culture.
June 07, 2013
Don’t extend RIA fiduciary standard to broker-dealersMoving to a harmonized standard would expose B-Ds to increased legal liability, driving up rates for E&O insurance and the cost of doing business.
June 07, 2013
Don’t extend RIA fiduciary standard to broker-dealersMoving to a harmonized standard would expose B-Ds to increased legal liability, driving up rates for E&O insurance and the cost of doing business.
June 07, 2013
Commonwealth Names Hunter President, COO; Adds Affiliation ModelsFormer president Peter Wheeler is now vice chairman of the independent broker-dealer, which has about 1,450 advisors.
June 07, 2013
LPL Names Oroschakoff Chief Risk OfficerLPL announced Friday that Michelle Oroschakoff, formerly global risk officer at Morgan Stanley, has been appointed chief risk officer and managing director.
June 06, 2013
Schwab’s Clark to SEC: Don’t Link Fiduciary and HarmonizationAs the SEC continues to gather data for a fiduciary rule, Bernie Clark of Schwab Advisor Services says Schwabs mission is to ensure that a fiduciary rule is not coupled with harmonization of broker and advisor rules.