Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Are Privately Owned Broker-Dealers a Dying Breed?
By Jonathan HenschenWith the recent sales of broker-dealers, have you noticed how many BDs in the top 50 are privately owned?
November 20, 2014
Investing in the industry’s future: NAILBA 33At the opening general session of NAILBA 33, moderator Gene Koster discussed the future of the industry with a group of industry panelists.
November 20, 2014
Securities America Nabs Ex-Advisor Group RecruiterGary Bender spent the bulk of his career at independent broker-dealers Royal Alliance and Woodbury.
November 20, 2014
Schorsch’s Cetera Rolls Out Consulting Group for AdvisorsCetera's 9,000-plus independent reps will get easy access to accounting, legal and other experts over the next year, starting with the top performers.
November 19, 2014
Ex-Schwab Rep Barred for Stealing, Reselling $1M in Office EquipmentThe former broker faces other charges tied to drug dealing and illegal use of a communications device in Florida, FINRA says.
November 18, 2014
13 Best & Worst Broker-Dealers: Q3 Earnings, 2014The third quarter saw several firms get hit with problems, while others were able boost their financial results.
November 18, 2014
Cohen’s Point72 Takes RCS Stake as Regulators CircleFormer SAC chief Steven A. Cohen disclosed a 5.1% stake in Schorschs firm, which said recently it was talking to SEC and FINRA.
November 18, 2014
Securities America Wraps Up $2.5B Insurance AcquisitionThe latest deal brings the IBD to more than 200 advisors and an OSJ that sells variable insurance products.