Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Advisors May Still Lose Right to Earn Commissions on IRA Advice
By Dale BrownThe Department of Labor will likely issue a reworked version of its fiduciary proposal in late Q1 or early Q2, and concerns about its potential impact remain very real.
January 10, 2013
Four More Years? Fiduciary Proponents Need to RegroupTo prevent four more years of fiduciary gridlock in Washington, proponents of the fiduciary standard for all need to regroup. Proposed: four steps to change the discussion.
January 09, 2013
Securities America Adds 30 Eagle One Advisors in Second Small BD Deal in a MonthEagle One intends to wind down operations, and most of its advisors have moved to Securities America.
January 09, 2013
Northwestern Mutual to Hire 5,500 This YearThis goal comes on the heels of the life insurance firms 2012 recruiting of 5,000 financial professionals.
January 07, 2013
Raymond James Recruits Wells Fargo Mother-Daughter TeamA Baltimore-based CFP team with $200 million in AUM and $2 million in annual production has jumped ship from Wells Fargo to join Raymond James IBD channel.
January 07, 2013
FINRA Advances Bonus Disclosure Plan for BrokersFINRA fulfilled its promise to seek comments on its controversial plan to require brokers to disclose their pay packages.
January 07, 2013
Manulife Financial acquires Benesure Canada Inc.Manulife completed its acquisition of the third party administrator and distributor of life and disability solutions to the mortgage broker marketplace.
December 28, 2012
Raymond James Rolls Out Mobile App, New Websites for ClientsThe firm says it will launch more IT improvements for financial advisors and clients in the coming 12-18 months.