Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Cambridge Makes Changes at the Top
By Staff WriterAt Cambridge Investment Research, Eric Schwartz will add chairman of the board to his CEO mantle and has promoted COO Amy Webber to president of the firm he founded 26 years ago, effective immediately.
September 20, 2007
SEC Enacts Rules For Bank Broker-DealersEight years after passage of the Gramm-Leach-Bliley Financial Services Modernization Act, the U.S. Securities and Exchange Commission and the Federal Reserve Board have adopted rules ...
September 19, 2007
New Job Picture for '07For the first time in four years, U.S. employment contracted as a result of huge drops in construction and manufacturing payrolls, reports Jeff Testerman of BrokerHunter.com. Fears that the slowdown i
September 09, 2007
How Much Do Agents Make On Settlements? It Depends.Just as life insurance policies brought to the secondary market may attract any number of varying offers, the agents who bring those policies to life ...
September 09, 2007
How Much Do Agents Make On Settlements? It Depends.Just as life insurance policies brought to the secondary market may attract any number of varying offers, the agents who bring those policies to life ...
September 07, 2007
Former SIA Chief Economist Passes AwayMany in the financial industry were shocked to learn of the sudden death on September 4 of Frank Fernandez, at 53, of complications following heart...
September 01, 2007
Time to rally around the issuesIn any industry, there are a small percentage of unscrupulous salespeople who act in their own best interest at the expense of their customers. In our industry, the bad apples are the ones who push unsuitable products on seniors in order to garner
September 01, 2007
A Word of ThanksThe Investment Advisor editorial staff wishes to extend special gratitude to the leaders of the 2006 Broker/Dealers of the Year for their willingness to share...