Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
After the Starr Swindle: How Financial Advisors Can Reassure Clients
By Joyce HansonFinancial advisors are buzzing about the SEC's $30 million fraud case against "advisor to the stars" Kenneth Starr in light of issues such as fiduciary duty, transparency and custody rules.
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...
June 02, 2010
Retirement Planning Guide Released for LGBT Individuals and CouplesIn order to help advisors and clients plan better, The MetLife Mature Market Institute released on Tuesday, June 2,"Planning Tips for LGBT Individuals and Couples."