Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FSI Elects '08 Leaders
By Janet LevauxThe Atlanta-based Financial Services Institute, or FSI, says the industry group's board of directors has unanimously elected Brian Murphy, chairman of Woodbury Financial Services of Woodbury, Minn., a
January 01, 2008
Big Brokers and PlanningNow that fee-based brokerage accounts are forbidden, some major brokerage firms are finding that the shift to investment advisory accounts, financial planning, and the Certified...
January 01, 2008
NEWS & PRODUCTS, JANUARY 2008Standard & Poor's is set to launch three U.S.-based Credit Default Swap (CDS) indexes which wil be focused on the $28.8 trillion Credit Derivatives Market....
December 01, 2007
Growing DiversityThe 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 Advisor Hall of FameWelcome to Research magazine's Advisor Hall of Fame, now in its 17th year. This eagerly anticipated annual feature has become a benchmark of excellence in...
December 01, 2007
NEWS & PRODUCTS, DECEMBER 2007The Financial Industry Regulatory Authority (FINRA) fined Oppenheimer Co., Inc. $1 million for "submitting mutual fund breakpoint data to FINRA that the firm knew to...
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...