Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA, Grant Thornton Eye Madoff, Dodd-Frank Effect on Broker-Dealers
By Joyce HansonIn the post-Madoff era, the increased tangle of regulations via Dodd-Frank had the audit firm Grant Thornton invite a FINRA regulator to a discussion with New York BDs to hash out rule changes.
May 04, 2011
RJFS Conference: Capital-Access Focus ‘Not Optional,’ Says HelckRaymond James COO Chet Helck told more than 1,600 independent advisors on Wednesday that the firm was moving to help them compete with banks in retirement services, saying that capital-access accounts and services were “not optional – this is huge.”
May 03, 2011
RJFS Conference: Raymond James Lowering Fees, Pushing Social Media & iPadsIn his keynote speech, Dick Averitt pointed out that the independent arm of Raymond James had lowered and eliminated some fees, dropped certain trading limits and was enhancing its social-media and IT policies.
May 03, 2011
AALU: Financial politics in actionA couple of slow international news days made our attendance at this year’s AALU annual meeting in Washington D.C. (we are being ironic here) all ...
May 03, 2011
George W. Bush, Gordon Brown to Speak at Pershing Insite 2011Former President George W. Bush and former U.K. Prime Minister Gordon Brown will speak at the Pershing Insite 2011 conference in Florida June 8 to 10.
May 02, 2011
Ron Carson Talks About LPL Shift and New RIA, BDCarson Wealth Management Group’s founder discusses the way his firm is different, and how he still expects to be ‘great partners into the future’ with LPL.
May 02, 2011
Raymond James, Baird Add Advisor Teams From Morgan Stanley, as Ameriprise Grabs Merrill FAsRaymond James could bring in $415 million in client assets, Baird $400 million and Ameriprise some $250 million by attracting these wirehouse brokers.
May 02, 2011
Raymond James, Baird Add Advisor Teams from Morgan Stanley, as Ameriprise Grabs Merrill FAsRaymond James could bring in $415 in client assets, Baird $400 million and Ameriprise some $250 million by attracting these wirehouse brokers.