Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Wachovia FAs Learn of New Brand
By Janet LevauxAfter completing its merger with Wells Fargo, Wachovia has outlined its retention and branding efforts to advisors: Retention bonuses are not being offered, and the...
April 01, 2009
Choose Your PartnerIt's not a question of any port in a storm -- it's the right port ... in a tsunami. That's what independent broker-dealers are seeking...
April 01, 2009
B/D Briefing: Calm Before the Storm?A new report found that the average securities class action settlement was halved in 2008, but the authors of Securities Class Action Settlements: 2008 Review...
April 01, 2009
B/D Briefing: It's Time for More Clients"Great marketing," says Ruth Papazian, "is about being ahead of the trend in figuring out not only where the market is going, but where advisors...
April 01, 2009
B/D Briefing: News & ProductsFINRA has proposed a rule to amend the Uniform Application for Securities Industry Registration or Transfer form (U4) and the Uniform Termination Notice for Securities...
April 01, 2009
Raymond James Euphoric Over Recruiting; Introduces New Leader at Confab(LAS VEGAS) Executives of Raymond James Financial Services met with about 1,500 of the firm's 3,120 independent advisors during the group's annual professional-development conference, held...
April 01, 2009
Simply IndispensableIn a one-and-a-half page memo to Commonwealth Financial Network's advisors sent in January, new CEO Wayne Bloom mentions the word "indispensable" or "indispensability" five times. "It's...