Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Client Beware? Harold Evensky's Definition of Fiduciary
By Bob Clark, Bob ClarkIn his response to my January 8 blog, Jay Martin raises an interesting issue about whether a fiduciary standard can or should be applied to...
February 01, 2010
Smith Barney Veteran Joins BairdBaird continues to attract wirehouse advisors, like Dennis Rowland, as it opens new offices nationwide.
February 01, 2010
Morgan Stanley's Online Forum for Women Proving PopularMorgan Stanley Smith Barney says that its website for women interested in becoming financial advisors has been visited by nearly 30,000 individuals since July...
February 01, 2010
Fidelity Says 25-30% Growth is 'Doable'Fidelity says that it has helped "a record number of brokers" transition to independence in 2009. At the end of November 2009, the number...
February 01, 2010
Blood in the WaterOver the past few years, there has been a massive feeding frenzy among broker-dealers. Financial advisor recruiters (sharks), both independent and proprietary, are always out...
February 01, 2010
Broker/Dealer Briefing: New Leader for FSIWe caught up with Mari Buechner, CCO and CEO of Coordinated Capital Securities, Inc., of Madison, Wisconsin, after her election as the new chair of...
February 01, 2010
Securities Lawsuits DownThe number of federal securities class action law suits filed in 2009 dropped sharply according to the recently released report, Securities Class Action Filings--2009: A...
February 01, 2010
Broker/Dealer NewsThe Municipal Securities Rulemaking Board (MSRB) has launched a Web site called Electronic Municipal Market Access (EMMA) www.emma.msrb.org, that provides free access to a powerful...