Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Broker-Dealer Omni Brokerage Closes Its Doors
By John SullivanBD accused of selling unsuitable real estate investments.
May 31, 2011
Broker-Dealer Financial Advisers of America Names New LeadershipThe firm’s former CEO, Ken Johnston has transitioned to the company’s chairman, appointing former president, Jodi Johnston to CEO and former COO, Todd Pack to president and COO.
May 26, 2011
Morgan Stanley to Allow Some Social Media UseAbout 600 Morgan Stanley financial advisors can use LinkedIn and Twitter starting in June -- but not Facebook.
May 26, 2011
Envestnet's Agents of Change; Ken Fisher Responds; 2011 Broker-Dealer Issue: June Investment Advisor—SlideshowThe June issue of Investment Advisor is our annual Broker-Dealer issue. Look for special coverage of the issues broker-dealers are facing now and in the future. We also present our 2011 Broker-Dealer Reference Guide and Directory, a compendium of which broker-dealers are top in five major categories.
May 24, 2011
Securities America Agrees to Settlement in MassachusettsSecurities America, Inc., charged last year with improper sales of Medical Capital Notes in Massachusetts, has agreed to make full restitution to 63 Bay State investors, Secretary of the Commonwealth William Galvin said Monday.
May 23, 2011
Fidelity Poll: Broker-Dealers and RIA Firms Focused on Hiring in 2011New clients to be primary driver of growth this year.
May 23, 2011
LPL Says Hiring of Ameriprise’s Reich Signals Commitment to Retirement Plan SpaceLPL's Derek Bruton says Reich rounds out management team to help its advisors win more 401(k) business.
May 23, 2011
FINRA Annual: LPL's Casady, BofA's Krawcheck Urge Caution on Single Fiduciary StandardWhile broker-dealer executives agreed at FINRA's annual meeting in Washington on Monday that the time has come for a single fiduciary standard for brokers and advisors, they argued that the industry should work with regulators to ensure a hasty decision isn’t made on how to implement such a standard.