Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Separate but Equal?
By Bob ClarkTo hear Duane Thompson tell it, now that the Republicans have control of the House of Representatives, a bill authorizing a self-regulatory organization for investment advisors any time soon is unlikely.
September 06, 2011
Commonwealth Snags Three Securities America Top ProducersLadenburg Thalmanns offer to buy Securities America may have staunched the hemorrhaging, but some leakage is still in evidence as Commonwealth grabbed three top producers from the troubled broker-dealer.
September 06, 2011
Private Equity Carlyle Group Going PublicPrivate equity giant The Carlyle Group filed with the SEC to launch an initial public offering of common stock a week after the firm made a minority investment in Avalon Advisors.
September 02, 2011
Insurance, Muni Bonds Not Dampened by IreneHurricane Irene may have roared up the coast last weekend, but she did not leave complete financial wreckage in her wake. Neither the insurance industry nor the municipal bond market was devastated, despite the billions of dollars in damage.
September 01, 2011
Ameriprise Posts Positive Q2 Earnings, No Sale Yet of Securities AmericaAmeriprise Financial said net income from continuing operations — excluding Securities America — was $313 million, or $1.25 per share, in the…
September 01, 2011
Investors Cap Founder Sells Stake to FAsInvestors Capital said in early August that after that sale of his shares in a public offering, which represented a roughly 55 percent stake in the firm,…
August 31, 2011
Carlyle Group Buys Minority Stake in Avalon AdvisorsThe Carlyle Group, one of the worlds largest private equity firms, has made a minority investment in Avalon Advisors, a Houston-based wealth advisor and asset manager with nearly $4 billion in assets under management.
August 26, 2011
Advisors Upbeat, With Wirehouse FAs Likely to Switch Firms: Top RecruiterIn the face of intense market volatility, financial advisors are surprisingly upbeat about the future of their businesses, executive recruiter Mark Elzweig, president Mark Elzweig Co., tells AdvisorOne.