Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC chief White pushes back on advisor audits
By Melanie WaddellWhite tells House Financial Services Committee that a reallocation of resources from BD coverage to advisors would "not be advisable."
December 22, 2014
Why do clients leave their brokers?PwC report provides insight into the evolving risk environment and the relationship between clients and brokers.
December 19, 2014
Schorsch Denies ARCP Book-Cooking AllegationsThe charges were raised by the firms former chief accounting officer in a lawsuit.
December 18, 2014
Raymond James Adds 2 Ex-Wells Fargo TeamsThis news follows the successful recruiting of groups from Merrill Lynch, JPMorgan and Stifel Nicholaus.
December 18, 2014
SEC Chief White Pushes Back on Advisor AuditsWhite tells Financial Services Committee that a reallocation of resources from BD coverage to advisors would not be advisable.
December 16, 2014
State of the industry: 5 annuity insights for 2015A report released today identifies marketplace opportunities and shifting demographics for annuity advisors.
December 16, 2014
State of the industry: 5 annuity insights for 2015A report released today identifies marketplace opportunities and shifting demographics for annuity advisors.
December 16, 2014
Vanguard’s Robo-Offering: Good for Advice, Bad for AdvisorsExpert Michael Kitces weighs in on the pros and cons of the industry giant's latest plans.