Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
More Brokers And Advisors Are Looking To Roam, Study Finds
By Trevor ThomasAbout 9% of brokers and advisors say they are likely to consider switching from their current employer to another firm in the next 12 months, ...
February 01, 2008
Seeking suitabilityCompanies and advisors flustered by a suddenly intense focus on the industry have turned their eyes to more carefully verifying the notions of suitability. But a variety of new programs and some unique efforts on the part of providers will help
February 01, 2008
Economies of ScaleAs an example of ways in which the new organization of LL Global can help the financial services industry, Howard Drescher of LIMRA points to...
February 01, 2008
Litigation A-Go-GoFollowing months of giant bank and broker/dealer write-downs, losses, CEO expulsions, runs on banks, and the pummeling of shareholder value at many of the world's...
February 01, 2008
A Busy Year in WashingtonThe New Year is upon us, and perhaps the most significant event for the advisory industry has already taken place--the Rand report assessing the advisory...
January 31, 2008
Seeking suitabilityCompanies and advisors flustered by a suddenly intense focus on the industry have turned their eyes to more carefully verifying the notions of suitability. But a variety of new programs and some unique efforts on the part of providers will help
January 21, 2008
No Trust, No RelationshipLast week was a very interesting one. It consisted of appointments with prospective clients, centers of influence, and a business trip to California. What was...
January 16, 2008
FSI's Murphy Upbeat About '08New Financial Services Institute (FSI) Chairman Brian Murphy is upbeat about the organization's agenda for 2008. Murphy is looking to "carry on" the work of his predecessors at FSI, which has been an effective advocate for the independent broker/dealer community, especially with lawmakers and regulators.