Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Clears Hurdle in Morgan Keegan Merger
By Janet LevauxA stipulated period for certain antitrust procedures has ended early, the company says.
February 24, 2012
A Reformer’s RebukeJoshua Brown, the blogger known as the Reformed Broker, has a wide following among financial advisors, who start their day reading his leads on industry news, markets and actionable ideas.
February 24, 2012
Breaking Ranks: Former Broker Turns Bomb ThrowerJoshua Brown is a reformed broker and thinks you should be one too or else.
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?