Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
NEXT Financial's Auld Has Big Plans
By Janet LevauxNEXT Financial Group has doubled its size every two years since 1999 and expects to continue its aggressive growth pattern in the near future. Its...
June 01, 2006
UBS-Piper Jaffray Deal: 'It's a Terrific Deal'UBS is buying Piper Jaffray, which could bring it 800-plus advisors and put it more solidly in fourth place behind Merrill Lynch, Wachovia Securities and...
June 01, 2006
The Advisor ClassResearch: Some advisors still consider T. Rowe Price primarily as a direct shop. Why isn't that the case any more? Cammack: To give you a perspective...
May 19, 2006
Glauber Calls EIA Disclosure "Daunting"The head of the National Association of Securities Dealers Inc. has warned NASD members about his concerns about the complexity of equity-indexed annuities.Analyzing the suitability ...
May 19, 2006
Glauber Calls EIA Disclosure "Daunting"The head of the National Association of Securities Dealers Inc. has warned NASD members about his concerns about the complexity of equity-indexed annuities.Analyzing the suitability ...
May 02, 2006
Number of CAIA Holders Continues to GrowAMHERST, Mass. (HedgeWorld.com)--The Chartered Alternative Investment Analyst Association is set to double once again the number of registrants for its exam for the CAIA designation. Craig Asche, executive director for the association, said that 1,200 registered for the group's February exam, which is just 200 shy of the total number...
May 01, 2006
News & ProductsFines, Complaints, Mergers The NASD fined American General Securities Inc., a member company of AIG, more than $1.1 million for violations of NASD's Anti-Reciprocal Rule. NASD...