Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Breach of Fiduciary Duty No. 1 Complaint in FINRA Arbitration Cases
By Melanie WaddellExperts including former SEC Chairman Harvey Pitt and Ron Rhoades debated whether brokers should be held to the same fiduciary standard as advisors.
September 21, 2012
LPL Grabs Pennsylvania Group With 24 FAs, $500MDelaware Valley Financial is affiliating with LPL Financial's broker-dealer and corporate RIA platform.
September 20, 2012
MSSB Reps Depart for Wedbush, BairdThe Morgan Stanley advisor joining Baird oversees $120 million in assets.
September 19, 2012
Advisors Going Independent: The Issues, the Costs, the PayoffsA Sept. 25 Web seminar featuring Tom Giachetti, Tim Welsh and David Patchen addresses the key issues for any advisor looking to 'break away' from a wirehouse, change broker-dealers or go completely independent as a RIA.
September 18, 2012
LPL Team With $250M Jumps to FSC SecuritiesThe Advisor Group broker-dealer says it attracted the team of Burton and Whittingham thanks to its open culture and IT architecture.
September 17, 2012
LPL Team Jumps to Raymond James, Buys a PracticeThe merged practice, based in Tennessee, should have about $150 million in assets under management.
September 13, 2012
BDs’ Top 5 Biggest Compliance Failures: NASAANASAA has released the results of its coordinated examinations of broker-dealers, identifying BDs top five compliance violations.
September 13, 2012
MarketCounsel Sells MailBanc Messaging Unit to Global RelayThe summit features a "whos who" of leading RIA firms and industry personalities.