Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Barclays Wealth Adds 6 FAs from Merrill, Morgan Stanley & Goldman
By Janet LevauxThe new advisors join Barclays Wealth with about $1.1 billion in assets and $26 million in trailing 12-month fees and commissions.
June 29, 2011
Research Magazine Hall of Fame 2011: Call for EntriesAnnouncing Research Magazine’s advisor recognition programs: the Research Advisor Hall of Fame and Research Research ETF Advisor Hall of Fame.
June 29, 2011
Raymond James to Buy Back $280M of ARS, Pay $1.75M FineThe settlement with state regulators and the SEC affects auction rate securities bought before mid-February 2008 for $2.1 billion.
June 28, 2011
Why Should You Join the International DI Society?NAIFA, NAHU, SFSP, MDRT: Our industry has numerous membership-driven organizations.
June 28, 2011
Why Should You Join the International DI Society?NAIFA, NAHU, SFSP, MDRT: Our industry has numerous membership-driven organizations.
June 28, 2011
Baird Adds 7 Advisors From Morgan Stanley, Wells FargoThe financial advisors join Baird in the Midwest with about $420 million in assets and $2.8 million in yearly fees and commissions
June 23, 2011
Raymond James’ FAs Boost Results 15% in MayTotal assets under administration grew 20% year over year to $282 billion in May 2011
June 22, 2011
Morgan Keegan Agrees to Pay $210M Fine; Could Be Sold by Parent FirmAfter a big fine relating to mortgage-backed securities, Regions Financial brings on Goldman Sachs to explore "strategic alternatives" for the broker-dealer.