Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Broker/Dealer Special Report: The Financials--The Right Fit
By Staff WriterFor most broker/dealers and their representatives, 2004 was successful: new clients were added, assets under management grew, and revenues were up. That meant that in...
December 07, 2004
Spitzer Announces Gubernatorial Run On BlogNU Online News Service, Dec. 7, 2004, 5:45 p.m. EST"I'm Running for Governor."[@@]New York Attorney General Eliot Spitzer made that declaration today in a ...
December 06, 2004
Good News for B/D Reps Who SwitchNASD reverses itself on bulk transfers of client accounts
December 06, 2004
BISA Survey Detects Slowing SalesNU Online News Service, Dec. 6, 2004, 5:12 p.m. ESTBank-based brokers are reporting a 24% drop in productivity for September.[@@]Brokers who work in banks ...
December 03, 2004
NFP: Contingent Comp Small Part Of Benefits CompNU Online News Service, Dec. 3, 2004, 6:02 p.m. ESTA rapidly growing financial services distributor says only a small part of its group benefits ...
November 30, 2004
NASD Announces $9.2 Million In Disclosure FinesNU Online News Service, Nov. 30, 2004, 6:59 p.m. ESTSecurities regulators want securities firms to do a better job of reporting problems with brokers.[@@]NASD, ...
November 29, 2004
LTCI Partners To Start Sacramento OfficeNU Online News Service, Nov. 29, 2004, 3:47 p.m. ESTA Libertyville, Ill., long term care insurance broker is expanding.[@@]The broker, LTCI Partners L.L.C., has ...
November 24, 2004
WellChoice Unit Adds Web Group Renewal FeatureNU Online News Service, Nov. 24, 2004, 3:27 p.m. ESTEmpire Blue Cross Blue Shield, New York, is beefing up its online broker support services.[@@]Empire, ...