Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Financial Names Joan Khoury Chief Marketing Officer
By James J. GreenFormer Merrill, Wachovia, BONY marketing veteran to head up largest independent broker-dealers marketing efforts.
February 24, 2012
Great Plains Financial Group Joins Securities AmericaSecurities America announced Thursday that Great Plains Financial Group has joined the La Vista, Neb.-based broker-dealer.
February 24, 2012
DTCC: Annuity Inflows and Outflows Dipped in JanuaryAnnuity inflows processed by DTCC in January declined by more than 20%, to $6.2 billion from $7.8 billion in December. Outflows processed in January declined almost 8% to $5.5 billion from $5.9 billion in December.
February 24, 2012
DTCC: Annuity Inflows and Outflows Dipped in JanuaryAnnuity inflows processed by DTCC in January declined by more than 20%, to $6.2 billion from $7.8 billion in December. Outflows processed in January declined almost 8% to $5.5 billion from $5.9 billion in December.
February 24, 2012
DOL Cracks Down on Retirement Plan Advisors for Fiduciary NegligenceWith a beefed up enforcement staff on tap, DOL goes after advisors to retirement plans. Crackdown is "astonishing," says Andy Larson, and should serve as a wakeup call to advisors.
February 21, 2012
Why Some Big Breakaway Brokers Are Going Independent: EconomicsThese days, big wirehouse brokers are making the move to independence for economic reasons. Will that change the independent advisor community?
February 17, 2012
Industry Groups Struggle to Provide Data for Fiduciary StandardInsurance industry trade groups are having difficulty providing the basic data the Department of Labor says it needs to prepare an economic impact study that must be included in its new proposal for a revised definition of fiduciary in sale of retirement products.
February 17, 2012
Industry Groups Struggle to Provide Data for Fiduciary StandardInsurance industry trade groups are having difficulty providing the basic data the Department of Labor says it needs to prepare an economic impact study that must be included in its new proposal for a revised definition of fiduciary in sale of retirement products.