Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Groups Fight Senator Johnson Legislation Amendment on Fiduciary Duty
By Melanie WaddellJohnson amendment would delete broker fiduciary requirement from financial reform bill
February 11, 2010
Barclays Wealth Advisors: Focusing on Ultra High Net WorthBarclays Wealth now has 120 advisor teams aimed at clients with at least $10 million in assets.
February 10, 2010
Latest Numbers Not Good for the IndustryThe annual revision to employment numbers and lackluster employment activity in January 2010 led to a loss of over 7,000 jobs in the securities field.
February 10, 2010
The FA Recruiting Wars Are Far from OverContrary to what some wirehouse executives say, the war for talented financial advisors isn't ending; it's just reconfiguring.
February 10, 2010
Time for a Transition (VI): Becoming an Online Social ButterflyOnline networking and digital communication should supplement - not replace - your traditional means of networking.
February 08, 2010
Lightyear Capital Completes Acquisition of Three ING Broker/DealersPrivate equity firm renames FNIC, Multi-Financial, and PrimeVest as Cetera Financial
February 08, 2010
Advisors Urged to Enter NAAIM Investment Management Contest ASAPPapers on investing must be submitted by March 15; prizes include top award of $10,000.
February 07, 2010
Client Beware? Harold Evensky's Definition of FiduciaryIn his response to my January 8 blog, Jay Martin raises an interesting issue about whether a fiduciary standard can or should be applied to...