Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
The Taste of Independence
By Mike PattonAs I approach my first anniversary of independence I think back and consider the ups and downs I've experienced. For those of you in a...
March 07, 2008
Ending a Three-Year Settlement SagaFidelity Investments has agreed to pay an $8 million penalty for accepting over $1.6 million in gifts and entertainment paid for by outside brokers.
March 05, 2008
A Good Year, Fourth Quarter for FidelityOn February 11, 2008, Fidelity Investments released its fourth quarter 2007 and record full-year brokerage results. Total brokerage client assets reached a high of $1.99 trillion in the fourth quarter, a 17% increase from one year ago.
March 02, 2008
Education For The Next GenerationKnowledge is power. There is no question about that. But for an industry that has faced scrutiny in recent years, the power to change a ...
March 02, 2008
Education For The Next GenerationKnowledge is power. There is no question about that. But for an industry that has faced scrutiny in recent years, the power to change a ...
March 01, 2008
Rise of the independentsI feel it is high time to give accolades to some of the "players" in the multi-trillion-dollar financial services industry players that I think have overcome incredible odds to achieve great success.
March 01, 2008
Keeping Up"The global securities and investments industry must continue adapting to a fast-changing environment, including grappling with the ongoing fallout of the subprime crisis and associated...
March 01, 2008
NEWS & PRODUCTS, MARCH 2008B/D chief compliance officers can now register for the inaugural CCOutreach BD National Seminar organized by the SEC and the Financial Industry Regulatory Authority (FINRA)....