Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
HighTower to Partner With Morse, Towey & White, a 5-Member UBS Team From New York
By Joyce HansonIn its continuing drive to welcome breakaway wirehouse brokers to its ranks, HighTower announced its 15th partnership, this time with Morse, Towey & White, a five-member, $1 billion wealth management team from UBS.
August 01, 2010
The FINRA BlotterThe law firm of Sutherland Asbill & Brennan completed in early July its annual review of disciplinary actions brought by FINRA in 2009. By reviewing...
August 01, 2010
Reform's Impact on Advisors, Broker/Dealers, and BanksThe 2010 reform legislation will impact RIAs, the large banks employing wirehouse advisors, and independent broker/dealers. "This is a tough law that will also have profound...
August 01, 2010
The Compliance Coach: Independent Advisors: Don't Violate the ProtocolI've had the privilege of assisting over 1,000 wirehouse brokers in their decision to go independent. There are two major issues for a registered representative...
August 01, 2010
Broker/Dealer Briefing: Facebook and Twitter: Compliance Concerns LoomWhen social networking Web sites such as Facebook, Twitter, and MySpace began, they were devoted to the musings of like-minded individuals--often students--or the following of...
August 01, 2010
Clark At Large: Can't Beat 'Em? Then Stall 'EmBy the time you read this, the Dodd-Frank financial services reform bill--The Wall Street Reform and Consumer Protection Act of 2010--will have been approved...
August 01, 2010
Broker/Dealer Marketing: Finding Their VoiceNow that the markets and economy are showing signs of recovery, albeit haphazardly, independent broker/dealers are offering various new tools to help their representatives start...
August 01, 2010
BofA-Merrill Lynch Rolls Out New Discount-Trading PlatformBank of America-Merrill Lynch launched the Merrill Edge platform on June 21 to give new and existing customers discount online-trading, banking and other services. The online-trading...