Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Hartford Investment Management Hires Manager From Neuberger Berman
By Ron PechtimaldjianHartford Investment Management Co. announced Wednesday, July 7, the hiring of Ray Humphrey as senior vice president and senior portfolio manager with the company's Inflation Plus Fund and U.S. Government Securities HLS Fund.
July 06, 2010
Cerulli Global Report: Charities, Pensions Outpace Life Insurers' Demand for Alternative InvestmentsAs charity, endowment, and pension trustees become more sophisticated in their investment strategies, they demanding more from asset managers, says research firm Cerulli Associates in its July report focusing on global trends and data.
July 06, 2010
Forward Management Study: Active Asset Allocation Is a Prudent StrategyIn a new white paper by Forward Management that challenges traditional portfolio construction, the company argues that the traditional "set-it-and-forget-it" approach to asset allocation is too passive.
July 06, 2010
Lipper Data Show Most Funds Struggled in Q2, Though Some ShineSecond-quarter results for the major U.S. stock indexes varied between a 5.84% loss for the Amex and 13.13% loss for NYSE.
July 06, 2010
Fiduciary, Act II: The Good News From the Financial Reform BillFirst the bad news: The Dodd-Frank Act of 2010 does not impose on brokers a fiduciary standard to put the interests of their clients first....
July 05, 2010
As Advisors Use Facebook and Twitter More, Compliance Concerns LoomSocial media have evolved to include marketing, branding, corporate communications of all kinds, and customer relations.
July 02, 2010
SEC Cracks Down on Pay-to-PlayRule prohibits an advisor from providing advisory services for compensation for two years.
July 02, 2010
Jobs Report for June Showed Unemployment Down to 9.5%, but 125,000 Fewer JobsThe widely watched U.S. Labor Department employment report for June disappointed expectations, showing a decline of 125,000 payroll jobs, but it also showed that the unemployment rate edged down to 9.5%.