Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James to Buy Morgan Keegan for $930 Million
By Janet LevauxThe final purchase price is tied to the retention of advisors, while the overall deal includes special provisions related to legal issues and costs.
January 09, 2012
SEC Changes Policy on Admission of Guilt in Fraud CasesThe new policy, according to the SEC, does not require admissions or adjudications of fact beyond those already made in criminal cases, but eliminates language that may be construed as inconsistent with admissions or findings that have already been made in the criminal cases.
January 06, 2012
5 Homework Assignments for the Insurance Industry in 2012What are the five most important challenges that the life & health industry need to tackle now if they are to expect a prosperous 2012?
January 06, 2012
5 Homework Assignments for the Insurance Industry in 2012What are the five most important challenges that the life & health industry need to tackle now if they are to expect a prosperous 2012?
January 06, 2012
Jan. 18 Webinar to Focus on Key Issues, Strategies for Advisors in TransitionUnique data, insights and strategies for advisors considering a change to be addressed in latest AdvisorOne web seminar.
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.