Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
IRI taps Alvarado for compliance VP
By Staff WriterThe Insured Retirement Institute has completed its transformation with the hiring of Karen Alvarado, the new vice president for compliance and regulatory affairs.
February 22, 2010
NAIFA: What Did The Fiduciary Standard Do To Stop Madoff?Producer groups are hoping they still have time to keep Sen. Christopher Dodd from calling for financial services broker-dealers to conform to the same standard of care that applies to investment advisors.
February 22, 2010
Ode to Chicken Little: Further Fighting About FiduciaryAs reported by Wealth Manager Editor-in-Chief Kathleen McBride in her Friday online column (wealthmanagerweb.com), a new salvo as been fired in the attack against a...
February 19, 2010
Morgan Stanley Exec Leaving Post as Head of New York City FAsJimmy Tighe had been with Citi for 16 years; reportedly may join BofA-Merrill.
February 19, 2010
Standard Of Care Still Up In The AirNo final decisions have been reached on the standard of care that will be mandated for sale of investment products by investor advisors or broker-dealers in Senate financial services reform legislation.
February 19, 2010
Standard Of Care Still Up In The AirNo final decisions have been reached on the standard of care that will be mandated for sale of investment products by investor advisors or broker-dealers in Senate financial services reform legislation.
February 17, 2010
HighTower Attracts Another Wirehouse Team; Aims to Grow AUM to $50 Mn.HighTower has just recruited the Strata Group, which manages some $500 million in assets, from Morgan Stanley Smith Barney.
February 17, 2010
Investors Cap Grows Profits, Boosts Recruiting of Top FAsIn terms of its advisor headcount, the broker-dealer has some 550 reps, down from over 600 a year ago, and says it is "emphasizing recruiting quality over quantity and culling lower-producing representatives."