Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Healthcare Reform Deadlines Look Dead
By Melanie WaddellSeptember and October dates will likely pass, but some type of reform still expected by year end
September 01, 2009
Broker/Dealer of the Year, Division IIISigma Financial Corp. President and CEO Jerome Rydell Candid quote from a Sigma rep: There are no unsurmountable obstacles at Sigma, just minor speed bumps. Founded: 1983 Producing Reps: 599 2008...
September 01, 2009
Suits Against Financial Firms Driving Litigation ActivityWhile federal securities class action activity declined in the first half of 2009, with a particularly significant decline in the second quarter, suits against financial...
September 01, 2009
Where Representatives Would GoThis year, more than many others, many representatives of broker/dealers are reassessing their options when it comes to with whom, and how, they will affiliate....
September 01, 2009
Broker/Dealers of the Year, Through the YearsThis is the 19th year that Investment Advisor readers have chosen Broker/Dealers of the Year. During the first four years of voting, the top five...
September 01, 2009
Broker/Dealer NewsThe Securities and Exchange Commission announced a settlement August 3 against Bank of America for misleading investors about billions of dollars in bonuses that were...
September 01, 2009
Broker/Dealer of the Year, Division IVWoodbury Financial Services Chairman and CEO Brian Murphy Candid quote from a Woodbury rep: This is my fourth B/D, and the first I've been with that had all...
September 01, 2009
Who Representatives Voted ForHere are the first, second, and third place winners in this year's balloting as picked by the 3,577 validated voters in our 19th annual readers'...