Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
A Battle Won Over Independent Contractor Status, but War Persists
By Dale BrownIn the continuing struggle to retain independent contractor status for IBD advisors on both the state and federal level, broker-dealers have a key ally in FSI. The Waddell & Reed lawsuit is a case in point.
February 14, 2013
Securities America Names Assistant of the YearThe independent broker-dealer picks Robin Claypool of L&M Financial Rochester, N.Y.
February 12, 2013
It's time to step up your gameAs carriers expand their product portfolios, brokers must be ready to identify and offer best-of-breed products and solutions.
February 12, 2013
It's time to step up your gameAs carriers expand their product portfolios, brokers must be ready to identify and offer best-of-breed products and solutions.
February 11, 2013
Like it or not, the fiduciary standard is comingAnd in the long run, it will be good for the industry, argues Steve Lewit.
February 08, 2013
More Advisors on the Move in 2013: DiamondDiamond Consultants says this year will be a more robust recruiting year than last, based on conversations with advisors and deals closed in January.
February 07, 2013
LPL to Pay Up to $2.5M in Nontraded REITs CaseThe violations took place between 2006 and 2009 in Massachusetts, regulators say.
February 07, 2013
AIG: Cyber threats a top concern for industry execsThe threat of cyber attacks worries insurance corporate executives more than anything else.