Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Taps Former Morgan Keegan CEO to Lead Fixed-Income Group
By Janet LevauxThe fixed income and capital markets group will be led by John Carson Jr., former CEO of Morgan Keegan.
April 04, 2012
Barclays Adds 2 Ex-Morgan Stanley Advisors in LAThe boutique firm has added eight advisors to the branchwith $2.7 million in assets and about $32 million in trailing-12-month productionin the last six months.
April 03, 2012
DOL’s Secret Fiduciary Fix Offers BDs Big OpportunityA little-known DOL exemption for computer modeling confers a marketing advantage for IRA rollovers, says Lou Harvey of market research firm Dalbar.
April 03, 2012
Women Investors’ 4 Key Stages Are Focus of LPL Marketing PlatformPractice management and marketing tools revolve around life stages where advisors are often a resource, says Marissa Fox-Foley of LPL, and represent an incredible opportunity.
April 02, 2012
Raymond James Completes $1.2B Deal for Morgan KeeganRaymond James says acquisition from Regions Financial will give it nearly 6,500 representatives across employee, independent BD platforms.
March 30, 2012
On 5th Anniversary of FPA’s Win on ‘Merrill Rule,’ Fight ContinuesLawsuit whose victory surprised and delighted many changed the conversation in Washington while industry still awaits shape of a final fiduciary rule.
March 30, 2012
To Break Fiduciary Deadlock, Groups Lay Out Path for SECSeven leading consumer and industry groups supporting a uniform fiduciary duty provided the SEC on Thursday with a roadmap for resolving the debate about how to create that rule.
March 29, 2012
Compensation Spending Down at Goldman, Up at Smaller FirmsGoldman Sachs ended 2011 with one of the lowest compensation-to-revenue ratios of the publicly traded investment banks, 42%, according to SNL Financial analysis.