Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Dodd Releases Draft of Financial Reforms
By Kate McBrideSenate Banking Committee Chairman Christopher Dodd (D-Connecticut) released a draft of financial reforms on March 15 that is extensively re-worded and watered down from his robust November 10 Discussion Draft.
March 11, 2010
Planners Fight Back On Fiduciary StandardSen. Herbert Kohl has proposed a financial services bill amendment that would apply a fiduciary standard of care to all broker-dealers, registered investment advisors and financial planners who perform financial planning duties.
March 10, 2010
Disability RMS Forms Voluntary Benefits ArmDisability RMS, a disability risk management firm, has set up a unit that will sell administrative services to employers, brokers and insurers that offer voluntary employee benefit plans.
March 10, 2010
Fidelity RIA, Broker/Dealer Groups Name New Leaders for RM, InvestingNew roles for Dell'Orfano, Fiske, and Masiello
March 09, 2010
Morgan Stanley Hires Citi Exec; Shedlin to Boost Investment BankingGary Shedlin joined Citigroup in 2004 and has had several high-profile banking assignments since then, including work for BlackRock.
March 09, 2010
Senators Explain Why They Want Fiduciary Standard StudyTwo members of the Senate Banking, Housing and Urban Affairs Committee say they do not believe advocates have made a convincing case for creating a total fiduciary standard.
March 08, 2010
Senators Explain Why They Want Fiduciary Standard StudyTwo members of the Senate Banking, Housing and Urban Affairs Committee say they do not believe advocates have made a convincing case for creating a total fiduciary standard.
March 04, 2010
UBS Makes More Exec Shifts: Appoints New Private Wealth COOThese changes come after former Merrill Lynch executive Robert McCann became head of Wealth Management Americas in October 2009.