Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
S. 3217: Fiduciary Standard In Play
By Arthur D. PostalSen. Robert Menendez has been on the Senate floor trying to round up support for the idea of imposing a fiduciary standard of care on all sellers of retail investment products.
May 05, 2010
SEI Advisor Network Poll: Advisors Aim to Grow Business, Learn From PeersBusiness growth and increased client communication top 2010 survey
May 05, 2010
Huntington Bank Opens Family Office in Columbus, OhioHuntington National Bank in Columbus, Ohio, has opened the Huntington Family Office, initially to serve high-net-worth individuals and families in the Columbus area before expanding into other Ohio markets in the near future.
May 05, 2010
Mutual Fund Net Inflows Are on Record Pace in 2010, Strategic Insight SaysFirst four months already has a net inflow of $200 billion
May 05, 2010
UBS Americas Now at 6,870 FAs; Assets Up but Outflows ContinueUBS's reported a first-quarter profit of roughly $2.9 billion, topping analysts' expectations and giving the Swiss-based investment bank its best results in nearly three years vs. a loss of about $2.6 billion in the same year-ago period.
May 05, 2010
Conversions of Roth IRAs Can Build Charitable LegacyUsing a 2010 Roth conversion to enhance charitable giving benefits clients and advisors alike
May 05, 2010
Profits at Calamos, AllianceBernstein Surge in Q1Calamos gets boost from rise in AUM; AllianceBernstein benefits from market resurgence and cost-cutting.
May 04, 2010
U.S. Trust, Bank of America Unveils Ad Campaign for Ultra High-Net-Worth MarketU.S. Trust, Bank of America Private Wealth Management rolled out a new advertising campaign aimed at the ultra high-net-worth market on Sunday, May 2.