Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Appeals Court Bars NASD Termination Form Libel Suits
By Staff WriterNew York financial services companies enjoy at least a "qualified privilege" and possibly an "absolute privilege" to write what they want to write in the ...
June 08, 2007
Who 'Owns' the Client?Last week, I raised the issue of junior advisors leaving their firm and taking some of the clients with whom they work. Because this situation...
June 07, 2007
Focus on the Optimal ClientSuccession planning was a recurrent theme at Pershing's 2007 Insite conference
June 07, 2007
Bank Broker-Dealers Increase Sales In AprilThe Bank Insurance & Securities Association bank broker-dealer productivity index was 17% higher in April than it was in April 2006, BISA saysAverage broker revenue ...
June 01, 2007
Make Your Vote CountBallotting for Investment Advisor's 17th annual Broker/Dealers of the Year awards will take place online only at www.investmentadvisor.com from June 1 through July 1. All...
June 01, 2007
NEWS & PRODUCTS, June 2007NASD has fined two Fidelity broker/dealers for preparing and distributing misleading sales literature promoting Fidelity's Destiny I and II Systematic Investment Plans, which were sold...
June 01, 2007
Voices of Authority: The IA Presidents' PollFor the first time this year, when we sought to measure the independent broker/dealer world for the IA Broker /Dealer Directory, we sought direct input...
June 01, 2007
If my current employer chooses to go after me for leaving, what can I expect?Typically, an employer will send a cease and desist letter to the advisor. This letter will remind the advisor that he has certain obligations set...