Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Commonwealth Financial Names Wayne Bloom as CEO
By James J. GreenIndependent broker/dealer Commonwealth Financial Network announced January 22 that Wayne Bloom, its managing principal of wealth management
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...
January 01, 2009
Industry Escaping Deepest CutsOverall Job Market The month of December was, of course, anything but jolly for another 524,000 workers, who lost their job - capping a year that...
January 01, 2009
Fixing Fiduciary FailingsThe Retirement Advisor Profile The advisor: Blaine Aiken The firm: fi360 The Web site: www.fi360.com The approach: Promoting the fiduciary standard worldwide, and educating companies and individuals as to...