Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC, FINRA Enforcement Roundup: Cantor Fitzgerald Hit by FINRA
By Marlene Y. SatterAmong recent SEC and FINRA actions were Cantor Fitzgerald being censured and fined and FINRA imposing a $14 million settlement on a Hong Kong-based firm charged with insider trading.
October 25, 2012
Calming Client Stress; Managing Risk With Managed Futures: November Investment Advisor—SlideshowBelieve it or not, good news in the financial industry may be making your clients feel more stressed out.
October 24, 2012
What’s Driving Industry Shifts?The number of wirehouse advisors and their asset base continues to drop, says a report released by Cerulli Associates on Monday.
October 24, 2012
Raymond James Boosts Q3 Earnings, Loses 37 RepsThe firm says it is upbeat about recruiting, as lower-producing Morgan Keegan advisors depart.
October 24, 2012
LPL Grabs $175M Team From SagePointThe 19-member group is based in Southern California and focuses on boomers, as well as members of Gen X and Y.
October 23, 2012
Breach of Fiduciary Duty Most Common FINRA ComplaintWhile attending the last in a series of events to celebrate what the Institute for the Fiduciary Standard christened as Fiduciary September, one comment stood out: The No. 1 compliant in FINRA arbitration cases is breach of fiduciary duty.
October 23, 2012
6 Overlooked Criteria for Broker-Dealer Due DiligenceIts not surprising that when the majority of registered reps look to change their broker-dealer, they tend to focus on short-term factors and immediate satisfaction.
October 19, 2012
Pandit’s Exit Means End of ‘Shock and Awe’ Era: Bank AnalystThe heyday of volatility at the big banks could be replaced by a "boring" period, says SNL Financial's Nancy Bush.