Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Schwab Sees More Momentum, Says Grist
By Janet LevauxAs of September 30, 2009, 126 teams moved to an independent model with Schwab, according to Barnaby Grist, senior managing director of Schwab Advisor...
January 01, 2010
BAIS Moves Reps to MerrillIn a surprise move, Banc of America Investment Services (BAIS), Inc., transitioned its registered representatives to Merrill Lynch on October 23, 2009, and then requested...
January 01, 2010
Better Days Ahead, Says Veteran AnalystEquity analyst Richard Bove of Rochdale Securities closely tracks banks, including Bank of America, Morgan Stanley and Wells Fargo. He recently spoke with Research...
January 01, 2010
Broker/Dealer NewsThe Insured Retirement Institute, the variable annuity trade group formerly known as NAVA, praised on December 4 SEC Chairman Mary Schapiro's public call for a...
January 01, 2010
B/D Briefing: Alignment TimeIn late September 2009, Patrick McEvoy changed jobs, moving from the presidency of Multi-Financial Securities, part of the ING broker/dealer network, to become president and...
December 31, 2009
Deck the halls with fraud and con menA former bishop in the Mormon Church pleaded guilty to felony mail fraud in connection with a $21-million Ponzi scheme run from his Colorado home.
December 31, 2009
Deck the halls with fraud and con menA former bishop in the Mormon Church pleaded guilty to felony mail fraud in connection with a $21-million Ponzi scheme run from his Colorado home.
December 30, 2009
T.J. Pool on being an "ethical advisor"T. J. Pool of Arlington, Texas-based Options Marketing, Inc. recently shared his thoughts with us on being an ethical advisor. Following are highlights from that discussion.