Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
National Financial's Norm Malo to Retire
By James J. GreenFidelity announced January 23 that Norman Malo, president and CEO of its clearing firm for correspondent broker/dealers.
January 23, 2009
FINRA probes broker/dealers for investment advisory business informationFINRA has requested information from some broker/dealers about investment advisory businesses associated with their organizations, a Finra spokesperson told Dow Jones Newswires Thursday. Firms who...
January 22, 2009
Creative Marketing's Learn to Earn Agent Sales Summit Earns Top MarksCreative Marketing, Overland Park, Kan., recently hosted the Learn to Earn Agent Sales Summit, Oct. 8-10, 2008, in the Kansas City area. The conference was a success, according to a number of the hundreds of agents in attendance. Eighteen of the
January 15, 2009
SEC Commissioner: Rules between advisors and broker/dealers need to be "harmonized"SEC Commissioner Kathleen Casey believes rules for investment advisors and broker/dealers are out of sync. Casey said Wednesday she "strongly believed" that rules needed to...
January 15, 2009
Morgan Stanley-Smith Barney Outline VentureThe former Morgan Stanley Stanley Dean Witter is set to become Morgan Stanley Smith Barney, as Citi have announced a deal to combine Morgan Stanley's global wealth management group and Citi's Smith...
January 06, 2009
McCann Bids Merrill AdieuMcCann, 50, is a 26-year Merrill veteran. He recently led the New York company's 16,850-member brokerage force as vice chairman and president of global wealth management. But, according to several new
January 05, 2009
George C. Van Dusen IIIGeorge C. Van Dusen III, president of Diversified Brokerage Services Inc., received the 2008 Douglas Mooers Award for Excellence. He has been in the industry for over 40 years, and helped develop the electronic pending business system in 1974. Van
January 01, 2009
B/D Briefings News & ProductsOn December 1, 2008, Securian Financial Group's acquisition of Capital Financial Group, Inc. and its broker/dealer affiliate, H. Beck, Inc., closed. The acquisition, announced in...