Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
IRI Elects LPL’s Moore Board Chairman
By James J. GreenNew IRI Board members include Larry Roth of Cetera, Erica McGinnis of AIG Advisor Group and George Riedel of USIS.
September 29, 2014
FINRA Rejects Claim Tied to Departing RepsFINRA arbitrators have rejected a $15 million claim by Charles Schwab against Morgan Stanley.The dispute centered on Schwab's accusations that Morgan Stanley…
September 29, 2014
RCAP's Crowdfunding Site: A Smart Move?RCS Capital (RCAP) introduced a platform in September called We Are Crowdfunding that lets accredited investors and others buy public and private offerings online by pooling their resources.
September 29, 2014
Experimenting With New Compensation ModelsThe variety of fee structures is growing, as advisors fine-tune offerings for a changing client base.
September 29, 2014
Advisor Prepares Pro Athletes for Life After SportsLee Rawiszer creates lifetime plans for incomes at risk of meteoric rises and crashes sometimes after meeting the client for less than 15 minutes.
September 25, 2014
Firms Prepping for Climate Change Have Higher ROE: StudyThose S&P 500 firms showed higher ROE and lower earnings volatility, according to a report released Tuesday by CDP.
September 25, 2014
Bruton's Lucia Capital Seals First Deal, Adds $170M in AssetsThe group, led by ex-LPL exec Derek Bruton, acquires client assets and two professionals; plans more purchases.
September 23, 2014
Schorsch’s RCAP Adds Ex-LPL Exec Dwyer in Leadership ShakeupBill Dwyer will be CEO of the Realty Capital Securities unit, while other new additions will give the rapidly growing firm a "deep bench."