Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Advisors ‘Energized’ Over Fee Disclosure, Fiduciary Rules: ASPPA’s Graff
By Danielle Andrus"Obviously advisors are concerned about the proposals, but NAPA has energized them," Brian Graff, CEO and executive director of ASPPA, told AdvisorOne in an interview on Tuesday.
March 20, 2012
DST Brokerage Names Tom Rozman, Will Banning to Sales TeamFormer ActiFi, Investigo executive Rozman joins DST Systems unit.
March 20, 2012
Baird Grabs 12 From Morgan, Wells Fargo, SchwabBaird on Tuesday announced the hiring of 12 advisors from Morgan Stanley, Wells Fargo and Schwab with about $1.8 billion in combined AUM and about $10.4 million in yearly fees and commissions.
March 20, 2012
Amid Wall Street Giants, a Firm Thinks Small and Exclusive (New York Times)New boutique investment banks resemble the original Wall Street model.
March 20, 2012
Are RIAs Really a Bigger Regulatory Problem Than Brokers?A look at the number of enforcement actions against each group provides a ready answer: part two of a series on the Bizarro World inside the beltway
March 19, 2012
SEC Issues Risk Alert on BDs’ Due-Diligence Duties for Municipal SecuritiesCiting a lack of due diligence by broker-dealers, the SEC on Monday issued a Risk Alert on compliance measures to help BDs fulfill their due-diligence duties when underwriting offerings of municipal securities.
March 19, 2012
HighTower’s Weissbluth: ‘Brokers Are Butchers; Fiduciaries Are Dietitians’Elliott Weissbluths two-and-a-half minute whiteboard animation video recently posted on YouTube calling brokers butchers and fiduciaries dietitians is drawing quite a bit of attention.
March 15, 2012
What’s Behind Congressional Freeze on SEC Funding?In part one of a two-part series on the Bizarro World inside the beltway, a skeptical observer suggests theres a method to the madness of starving the SEC of what it needs to do its job.