Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Fiduciary Standard Should Be Based on How Brokerage Industry Works
By Bob ClarkA reader says all fees, transaction costs and loads should be transparent and "comparison-shopped for by a broker 'advising' any client." Therein lies the rub.
March 16, 2015
Deconstructing one broker’s take on a fiduciary standardA debate over the fiduciary standard opens new questions for advisors.
March 16, 2015
All Eyes on SEC Chief to Move Fiduciary Forward, FINRA’s Ketchum SaysMeanwhile at SIFMA's regulatory conference, the Wall Street lobby released a study challenging the White House's claim that conflicted advice costs investors $17 billion annually.
March 16, 2015
Froude Steps Down as Head of Ameriprise Advisor GroupTwo senior execs, Bill Williams and Patrick O'Connell, are poised to step in to lead 9,672 FAs.
March 13, 2015
Baird Adds Ex-UBS Team, Former Morgan Stanley FA in TexasMeanwhile, Raymond James recruits five advisors to its financial institutions group.
March 12, 2015
Robo-Advisors Rip Schwab’s New Robo-Advisory Over Fees, CashThe gloves have come off in the rock em, sock em field of robo-advice.
March 11, 2015
American Realty Capital Names Rufrano CEO, Alters BoardThe moves follow the REIT's senior leadership resigning after an accounting scandal last year.
March 11, 2015
Deconstructing One Broker’s Take on a Fiduciary StandardA broker responds to my March column for investment Advisor on the fiduciary standard and makes some good points. And some not-so-good points.