Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Ex-NFL Player Accused of Ponzi Scheme: SEC
By Janet LevauxA former New England Patriot and a partner are accused of bilking investors who thought they were funding loans to pro athletes.
April 02, 2015
One Step at a Time: An Open Letter to the Institute for the Fiduciary StandardThe Institute for the Fiduciary Standard called for public and industry comment in a January white paper outlining 11 best practices for advisors and brokers who provide advice to clients. What follows is an open comment letter that I sent to the Institute in March
April 02, 2015
Fidelity Merges Clearing and Custody Arms; Launches Tech UnitIn a move five years in the making, Fidelity is combining its RIA custodian and broker-dealer clearing units, it announced in March. It has also created a new technology operation, Fidelity Wealth Technologies, that will include the recently acquired eMoney Advisor.
April 01, 2015
Wells Adds 5 Reps as Raymond James Grabs One of Its FAsIn other news, U.S. Trust shares the names of its latest recruits, and two divorce-focused groups merge.
April 01, 2015
Never cheat widows and orphansIts a brave new world for regulation and litigation, bad news for fakes and frauds. But how many otherwise ethical advisors will get caught up?
April 01, 2015
Never cheat widows and orphansIts a brave new world for regulation and litigation, bad news for fakes and frauds. But how many otherwise ethical advisors will get caught up?
March 31, 2015
These are the success stories that need to be toldDo you know of someone within the insurance industry who deserves to be nominated for this year's Industry Elite Awards?
March 31, 2015
Women’s Networks Boost Profits: FWASuccessful womens internal networks help their firms engage female clients and close business deals, a survey by the Financial Women's Association found.