Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Proposes Rule for BDs to Help Stop Elder Fraud
By Melanie WaddellBDs would be required to obtain a trusted contact for an elderly customers account; empowered to put holds on fraudulent-looking transactions.
October 14, 2015
New "Ballers" show puts spotlight on brokersHBO's new series focuses on a retired football player turned financial advisor. Is "Real Advisors of Beverly Hills" far behind?
October 14, 2015
Recruiting Roundup: Merrill Attracts $3.5B Group, as UBS Draws $1B TeamMeanwhile, Wells Fargo helps an ex-UBS group go independent, and Summit Trail gains a former-Barclays Wealth team
October 14, 2015
Indie HD Vest Bought by Blucora, Maker of TaxACT, for $580MThe online tax prep firm, formerly known as InfoSpace, hopes to boost business by aligning with the accountant-heavy independent BD, which has about 4,500 reps.
October 14, 2015
As Elder Abuse Grows, Advisors Urged to Start Fighting It: SIFMA ForumFinancial institutions "are protecting people's privacy at the expense of protecting the people and their assets," Kathleen Quinn of NAPSA says.
October 13, 2015
Financial Firms’ Q3 Earnings Seen Nearly Flat, at BestAs earnings season kicks off, analysts expect banks to report a rough third quarter, with one notable exception.
October 13, 2015
Three ways the Affordable Care Act transformed insurance salesThe Affordable Care Act (ACA) has forever altered the health insurance industry, requiring brokers to take on new roles and offer innovative solutions to their clients.
October 13, 2015
Three ways the Affordable Care Act transformed insurance salesThe Affordable Care Act (ACA) has forever altered the health insurance industry, requiring brokers to take on new roles and offer innovative solutions to their clients.