Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Barclays Wealth Adds Another FA; Boutique Firm Now Has 250 Advisors
By Janet LevauxThe growing firm, started after Barclays bought a unit from Lehman Brothers, now has more than $240 billion in assets under management.
May 12, 2010
SEC Commissioner Luis Aguilar States Unequivocal 'Support of Extending a Fiduciary Duty to Broker-Dealers'In an unusual step, SEC Commissioner Luis Aguilar issued a "Statement in Support of Extending a Fiduciary Duty to Broker-Dealers who Provide Investment Advice," on Tuesday, May 11.
May 12, 2010
Center for Retirement Research Finds Healthy Pay Higher Costs Than Unhealthy in RetirementFinding attributed to longer life spans for healthy individuals, translating to higher health care costs in long run
May 12, 2010
Commissioner Luis Aguilar States Unequivocal "Support of Extending a Fiduciary Duty to Broker-Dealers who Provide Investment Advice"An unusual step for an unusual time.
May 12, 2010
U.S. Jobs Report Overshadows News of Rising UnemploymentPrerecession employment levels are years away, an analyst reports.
May 12, 2010
House Bill Would Strengthen Pension Benefits for Part-Time EmployeesRetirement Fairness Act of 2009 has pension experts and bloggers buzzing
May 11, 2010
Investors Cap at $1 Bil AUM; To Host First Women's ConfabInvestors Capital, which has some 550 independent advisors, now has more than $1 billion in assets under management.
May 11, 2010
Investors Capital Advisory Hits $1 Billion in AUM; ICA to Host First Women's ConfabInvestors Cap, which has some 550 independent advisors, will host women's conference in Boston