Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
UnumProvident Settles With New York And California
By Staff WriterA disability insurer has announced a pair of broker compensation settlement agreements.UnumProvident Corp., Chattanooga, Tenn., has negotiated one broker comp settlement with New York Attorney ...
November 01, 2006
Yearning for Learning"That's the last test I'll ever take!" How many of us have said just these words after finishing a required licensing exam? Unfortunately, if you...
November 01, 2006
A Higher Level of CompetenceRuss Morton is a big man, which is what you'd expect of a University of Oklahoma graduate who spent the first decade of his career...
November 01, 2006
Industry Spotlight: InsuranceChanging dynamics mean new opportunities in the insurance sector, equity analysts say. Stewart Johnson Friedman, Billings, Ramsey & Co. 212-381-9219 [email protected] Area of Coverage: Life Insurance Outlook: The industry outlook in...
November 01, 2006
Still Getting It DoneThey may not be making it 'the old fashioned way' with commissions on stock transactions, but in spite of reports of representatives fleeing wirehouses to...
October 29, 2006
Better Communication May Mean Better SuitabilityInsurers and broker-dealers need to communicate more to better police against unsuitable sales transactions.That was the message of speakers on a panel at the American ...
October 29, 2006
Better Communication May Mean Better SuitabilityInsurers and broker-dealers need to communicate more to better police against unsuitable sales transactions.That was the message of speakers on a panel at the American ...
October 26, 2006
Compliance Chiefs Want To Team Up Against Bad PracticesManufacturers and distributors need to communicate more to root out unsuitable sales.Speakers delivered that message here during a panel discussion at the annual meeting of ...