Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Rejection of Securities America Settlement Has Wide-Ranging Implications
By Editorial StaffState securities regulators hail judge’s decision as protecting investors’ interests, but trouble looms for the broker-dealer, and perhaps for other BDs.
March 16, 2011
Palmer Square Hires JPMorgan Trading Head, and Founder's Wife, as CIOAngie Knighton Long will join her husband, who's the founder, at the Kansas-based capital management firm.
March 15, 2011
Investors Cap Sale to Another Indie BD Appears UnlikelyChairman Ted Charles' filing is not the 'usual' route for the future sale of an independent broker-dealer, industry experts explain.
March 11, 2011
Manulife Completes Preferred Shares OfferingA Canadian-based insurer has completed an offering of shares totaling $200 million.
March 11, 2011
Commonwealth’s Bloom on FA Payouts, Giving Back and Consolidation: Weekend InterviewAdvisorOne spoke with Commonwealth Financial CEO Wayne Bloom about several developments at his firm.
March 10, 2011
Commonwealth Financial Forms Charitable FoundationThe charity organization aims to boost the impact that Commonwealth Financial’s 1,400 advisors have in their communities nationwide.
March 10, 2011
Wall Street Financial Group’s Joe Richard: It’s a Flexible, Selective Recruiting EnvironmentQuality over quantity is more than just cliché at this boutique broker-dealer.
March 09, 2011
Raymond James Hires 2 UBS Advisors in S.C.Carolyn Edwards and Roy Seay, with $125 million in assets and $850,000 in yearly sales, are joining RJA in Mount Pleasant, South Carolina