Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Case of UBS vs. Morgan Stanley FA Sheds Light on Broker Protocol
By Janet LevauxPatrick Burns, a California attorney, warns advisors to carefully select the client information they take with them when switching firms, following the case of UBS Financial Services Inc. v Peter N. Junggren, Jr., who recently joined Morgan Stanley Smith Barney and is now subject to a temporary restraining order.
April 05, 2011
Report Foresees Changes for Agents and Brokers in Wake of Dodd-FrankAgents, brokers, advisors and others in the investment industry value chain will have to undergo a "redefining transformation" of their businesses to compete post-Dodd-Frank, according to a new research report
April 05, 2011
Gen X & Y perfect for financial services -- but don't know itLIMRA focus groups and studies have found that Generation X and Y job seekers aren't interested in a financial services career -- even though the industry offers jobs that match their most valued priorities.
April 05, 2011
Gen X and Y Say 'No Thanks' to Financial Services CareersJob seekers in Generations X and Y, on the surface, appear to be uninterested in sales positions in the financial services industry, despite having values that are in line with the profession.
April 05, 2011
Raymond James Prices Its $250 Million Senior NotesCEO Paul Reilly says that the offering of the 4.25% senior notes "will support a number of potential initiatives and further enhance our liquidity position."
April 05, 2011
The Sophistication Argument and Other Myths About Brokers, and FiduciarySophistication, training and research? Okay. But why are clients still confused over brokers' duties toward them?
April 04, 2011
Gen X & Y perfect for financial services -- but don't know itLIMRA focus groups and studies have found that Generation X and Y job seekers aren't interested in a financial services career -- even though the industry offers jobs that match their most valued priorities.
April 02, 2011
LPL Flirted With Acquiring Investors Capital, Source SaysFresh off its IPO, LPL considered buying a majority stake in the fellow independent broker-dealer, but balked at integration issue.