Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
After the Kenneth Starr Swindle: How Advisors Can Reassure Clients
By Joyce HansonFinancial advisors, RIAs and lawyers point to crucial role of third-party custodians in the aftermath of Kenneth Starr's alleged $30 million fraud.
June 03, 2010
81% of Annuity Consumers Want Living Benefit Guarantees, IRI Report ShowsMore than 81% of U.S. consumers in the variable annuity market wanted a lifetime guarantee of income, the Insured Retirement Institute (IRI) reported in a study released Thursday, June 3.
June 03, 2010
TD Ameritrade Survey: Majority of RIAs Lack Succession PlanMost independent RIAs have not planned for the formal succession of their businesses, according to a survey of 500 RIAs released on June 2, by TD Ameritrade.
June 03, 2010
Vanguard Adds Target-Date Fund, Giving Fund Giant 12 Lifecyle FundsThe Vanguard Target Retirement 2055 Fund could help the fund giant market its products to investors now between 18 and 22 years of age
June 03, 2010
Warren Buffett Testifies at FCIC HearingChairman Phil Angelides presided over a full day of testimony on June 2, at the Financial Crisis Inquiry Commission's (FCIC) hearing on rating agencies, focusing on Moody's.
June 02, 2010
Raymond James Women's FA Network Taps Spinelli as New DirectorRaymond James hopes to boost program and the number of female advisors; it has 4,523 advisors, and 630 - or 14 percent -- are women.
June 02, 2010
CFA Enrollment Breaks Last Year's Record With 9% IncreaseA total of 139,900 candidates from 160 countries--9% more than last year--enrolled for the chartered financial analyst exam this month, the CFA Institute announced Wednesday, June 2.
June 02, 2010
Raymond James Women's Advisor Network Taps Spinelli as New DirectorNicole Spinelli was named director of the Raymond James Network for Women Advisors, the company said. She succeeds Karen Julien, branch manager of the Raymond James...