Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Adds $425M-plus FAs From Merrill, UBS and Morgan Stanley
By Janet LevauxSeven advisors with more than $425 million in assets joined the employee channel of Raymond James in Virginia and Florida.
December 15, 2011
Advisor SRO Would Cost Twice as Much as Funding SEC ExamsThe report, conducted by BCG and funded by advisor groups and TD Ameritrade, was released before a House panel vote on a spending bill that included a $136 million increase for SEC funding.
December 15, 2011
FSI Elects 2012 Board; Joe Russo Is First-Ever Advisor Named ChairJoe Russo is the first advisor ever elected chair of the independent BD organization. Larry Roth was elected vice-chair of FSI, and there are now four advisors on the 2012 board.
December 09, 2011
A First Look at the Rogue's GalleryAs National Underwriter prepares its list of the 2012 Rogue's Gallery of the life/health industry's biggest public enemies, who should make the list? Who should be spared? And which rogue should rule them all?
December 09, 2011
Investors Capital Holdings Added to Russell Microcap IndexThe independent broker-dealer, selected as one of Investment Advisor magazine's Broker-Dealers of the Year, is included in the index for one year.
December 06, 2011
Broker-Dealer Pacific West to Close Its DoorsIn a further sign of economic and legal trouble for the independent broker-dealer space, Pacific West Financial Group, based in Renton, Wash., announced it was discontinuing operations.
November 30, 2011
A Frank FarewellWhen Barney Frank announced on November 21 that he would not seek re-election, I was disappointed.
November 28, 2011
10 Steps to Bulletproof Your PracticeAs a recruiting firm, we deal with compliance issues so frequently that, put in college terms, I majored in recruiting and minored in compliance.