Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
5 Homework Assignments for the Insurance Industry in 2012
By Bill CoffinWhat are the five most important challenges that the life & health industry need to tackle now if they are to expect a prosperous 2012?
January 05, 2012
Private Equity Firms Snapping Up IBDsThese are tough times for the independent broker-dealer space. Pacific Wests announcement in early December that it was discontinuing operations was the latest in a string of similar announcement from small to medium size firms.
January 05, 2012
COR Securities Buys Clearing Firm LegentCOR Securities Holdings announced Tuesday that it has acquired independent securities clearing firm Legent Clearing.
January 03, 2012
LPL Financial to Acquire Alternative Investment Firm FortigentFortigent will continue to operate autonomously from its Rockville, Md., headquarters and its existing management team will remain in place, reporting directly to Robert Moore, LPL Financial's CFO.
January 02, 2012
Insurer-Owned B-Ds Slowly Fading Away? (InvestmentNews)The future looks bleak for independent broker-dealers owned by insurance companies, according to one group of industry executives.
January 02, 2012
Former SEC Exam Chief Walsh: SEC Whistleblower Program 'Showing Traction'The former chief counsel at the SEC's exam division, John Walsh, has formed a Whistleblower Response Team with several of his colleagues to help firms develop whistleblower response programs as the SECs 'initiative is beginning to show traction.'
January 01, 2012
The Advisor's AdvocateThe beginning of a new year is always a good time to catch up with Dale Brown, president and CEO of the Financial Services Institute.
January 01, 2012
Rising TidesAs with the rest of the country, the financial planning profession is graying, and the entrance of 20- and 30-something young professionals is causing a substantial shift in the makeup of the work force.