Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Growing Diversity
By Kara P. StapletonThe securities industry continues to make workforce diversity a priority, according to the Securities Industry and Financial Markets Association's (SIFMA) 2007 Report on U.S. Workforce...
December 01, 2007
2007-2008: Executive PerspectivesThe past 12 months have been tumultuous for the financial-services industry, with the credit-related write-downs and related changes in leadership, mergers and acquisitions, and stock...
December 01, 2007
Howard S. LorchManaging Director-Investments Wachovia Securities Career Began: 1969 Home Base: Houston, Texas Civic Affiliations: University of Houston, The 100 Club, M.D. Anderson Cancer Center, Boy Scouts of America When Howard Lorch...
December 01, 2007
Death to TaxInvestment advisors appear to have dodged a bullet as the Financial Services Institute (FSI) and individual advisors rallied lawmakers to repeal a law that would...
November 14, 2007
Thain to Chair Merrill LynchJohn Thain, CEO and director of the exchanges since 2006, and NYSE since 2004, was named the new chairman and CEO of Merrill Lynch, according to a November 14 announcement. He will succeed Stan O'Neal, Merrill's former chairman and CEO, who retired October 30 under the cloud of the firm's...
November 14, 2007
Pssst: Secrecy Board Needs New MembersThe U.S. Treasury Department is looking for candidates for several openings on the Financial Crimes Enforcement Network Bank Secrecy Act Advisory Group.Members of the group ...
November 11, 2007
"We're Going To Survive. We're Going To Prosper."The third roundtable of life settlement executives sponsored by National Underwriter was held on Paradise Island in the Bahamas on Oct. 11, 2007, with representatives ...
November 11, 2007
"We're Going To Survive. We're Going To Prosper."The third roundtable of life settlement executives sponsored by National Underwriter was held on Paradise Island in the Bahamas on Oct. 11, 2007, with representatives ...