Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Morgan Keegan Court Victory May Actually Be ‘Enormous Defeat,’ Recruiter Says
By Janet LevauxA recent ruling by a judge overturning a $9.2 million award in Morgan Keegans favor isnt likely to give parent company Regions Financial much upside as it looks to sell the brokerage firm, experts say.
October 03, 2011
Foes, backers weigh in on fiduciary rule delay (Pensions & Investments)The Department of Labor has decided to rethink its ongoing efforts to establish rules regarding just who is (and who is not) a fiduciary, a proposal which…
October 01, 2011
The Gold Buying GuideWith so much interest in the gold and silver market, most financial professionals are getting flooded with questions about how best to gain exposure to precious metals.
October 01, 2011
Separate but Equal?To hear Duane Thompson tell it, now that the Republicans have control of the House of Representatives, a bill authorizing a self-regulatory organization for investment advisors any time soon is unlikely.
October 01, 2011
Top 5 Reasons Advisors Change Broker-DealersFive years ago I wrote about what motivates advisors to change their broker-dealer; many things have changed today.
September 09, 2011
Fusion Names Industry Veteran Salameh as Chief Marketing OfficerFormer TD Ameritrade marketing director will provide marketing consulting services to advisors affiliated with Fusion Advisor Network, led by Philip Palaveev and Stuart Silverman.
September 06, 2011
Commonwealth Snags Three Securities America Top ProducersLadenburg Thalmanns offer to buy Securities America may have staunched the hemorrhaging, but some leakage is still in evidence as Commonwealth grabbed three top producers from the troubled broker-dealer.
September 06, 2011
Private Equity Carlyle Group Going PublicPrivate equity giant The Carlyle Group filed with the SEC to launch an initial public offering of common stock a week after the firm made a minority investment in Avalon Advisors.