Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
PBS exposes financial industry's hidden truth
By Chris CarosaA generic TV program put things in perspective: Do we simply sell products, or is our role to serve (and protect) the investing public?
December 20, 2012
FSI Endorses Senate Bid to Preserve Retirement Tax IncentivesAs fiscal cliff talks stagger on, independent broker-dealer group praises Senate Concurrent Resolution 62, and points out that taxes on retirement plans are only deferred.
December 19, 2012
2013 regulatory landscape: State and FederalIf you thought 2012 was chaotic, hold on to your hats: 2013 may well be one of the busiest years regulators and brokers have seen.
December 18, 2012
Massachusetts Slaps Morgan Stanley With $5M Fine Over Facebook IPOMassachusetts regulators said the firm's investment bankers had 'inappropriate influence' on its research analysts
December 14, 2012
LPL Taps Ex-Dell CIO for Top Tech PostVictor Fetter will move from Austin to Charlotte, N.C., to head the independent broker-dealer's growing IT squad.
December 13, 2012
Poll Results: As SEC’s Schapiro Steps Down, Advisors Speak UpOur AdvisorOne survey found some sentiment for Sallie Krawcheck, but gave regulators overall poor marks for protecting consumers and providing a level playing field.
December 12, 2012
Massachusetts Sues LPL for Non-Traded REIT ViolationsThe complaint is focused on about 570 sales worth about $26.5 million.
December 11, 2012
Securities America Adds Group With 130 Reps, $1 Billion in AssetsInvestors Security of Suffolk, Va., joins the Nebraska-based firm, which added an Alabama team last month.