Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Wells Fargo’s Peluso Moves From FiNet to Head First Clearing
By John SullivanWells Fargo's FiNet announced Tuesday that the firms president, John Peluso, has been named president of First Clearing Correspondent Services.
May 25, 2012
Fidelity, Schwab, Scottrade Wrestle With Facebook FalloutNASDAQ now counts 30 million improperly executed shares.
May 25, 2012
Why I Chose A Career in InsuranceMany college students are opting for careers in "cool" industries. Here's why one recent graduate bucked the trend.
May 25, 2012
Why I Chose A Career in InsuranceMany college students are opting for careers in "cool" industries. Here's why one recent graduate bucked the trend.
May 24, 2012
LPL Financial Boosts FAs, SalesLPL Financial said its first-quarter net income was $41.2 million, or $0.37 per share, down $7.8 million compared with net income of $49.0 million, or $0.43 per share, from a year earlier.
May 24, 2012
SEC, FINRA Enforcement RoundupBroker-dealer Cadaret, Grant fined; alleged $60 million Ponzi scheme targeted; Morgan Stanley in hotseat.
May 24, 2012
Raymond James Shows Morgan Keegan Effect on April Results for FAsThe combined advisor force generated more than $250 million in total fees and commissions with Morgan Keegan FAs adding nearly 25% boost.
May 24, 2012
Raymond James’ Curtis Voices Qualified Support for Fiduciary StandardIn his coming-out as successor to Dick Averitt at Raymond James' independent contractor arm, Curtis says he would like to see better definition of an "FA-level" fiduciary standard.