Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
How the Wall St. Earthquake Will Affect Clients
By James J. GreenHow are advisors reacting to the latest news of the changing landscape on Wall Street, with the bankruptcy of Lehman Brothers and the acquisition of Merrill Lynch by Bank of America? For one thing, they're putting it into the context of the broader credit and housing crisis that has affected...
September 11, 2008
Securian to Acquire Capital Financial Group/H. BeckIn what could be further evidence of consolidation in the independent broker/dealer space--or of the enhanced value that winning Investment Advisor's Broker/Dealer of the Year brings to honorees--another mid-sized independent B/D has been acquired by one of its larger brethren.
September 11, 2008
LPL Hit With Reg S-P Fine Over Hacking IncidentsLPL has become the latest victim of the SEC's Reg S-P crackdown. The SEC announced September 11 that it had brought an enforcement action against...
September 11, 2008
Securian Seeks To Buy Md. Investment FirmSecurian Financial Group Inc. says it plans to acquire investment firm Capital Financial Group Inc. and CFG's broker-dealer affiliate.Securian, a unit of Minnesota Mutual Insurance ...
September 08, 2008
Hartford Courts Sales AssistantsAn insurance giant is trying to win over variable products sellers by doing more to woo the staffers who help them make their sales.Hartford Financial ...
September 01, 2008
Working to keep electronic media compliantQ: You are a registered representative with a FINRA-registered broker-dealer. You also have your own business, John Smith and Associates. You create a Web site and set up email under that name. Can you do this? You also have your own fixed business
September 01, 2008
About the ManagerJim Moffett, lead manager of the UMB Scout International Fund and the UMB Scout International Discovery Fund, has more than 35 years experience in investment...
September 01, 2008
Broker/Dealer of the Year, Division IIThe Investment Center CEO and President Ralph DeVito A rep speaks: "They have been terrific. They are there when you need them, going the extra mile; and...