Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Molendorp to chair LL Global board of directors
By staff WriterOneAmerica companies Chairman, President and CEO Dayton H. Molendorp has been appointed chairman of the LL Global board of directors for 2010.
November 18, 2009
Time for a Transition (III): Niche MarketingOne way to expand your existing practice is to target a market, which is what financial advisor Sammie Gatti did in Dallas by going after women working for Texas Instruments.
November 18, 2009
Positive Job News for Securities IndustryIn October, the securities industry fared relatively well -- with the first report of a gain in employment in over a year as employment crept up by 2,400 jobs in this sector
November 18, 2009
Street Recovery Beats ExpectationsThe total bonus pool - including cash and deferred compensation - could be higher than last year, but compensation reform will restrict the amount paid in cash this year, according to New York comptroller.
November 18, 2009
Cautionary Tales of Wirehouse LeadershipA look at some of Wall Street's big names, and what their successes and failures mean for the future of the financial industry.
November 17, 2009
FINRA to Expand BrokerCheck; Rep Info to Stay OnlineDisclosure records for former brokers will be available on BrokerCheck beginning November 30, FINRA says, and the records will remain online -- even if the rep leaves the industry.
November 16, 2009
Investors Cap Reports Profit, Recruiting Results for Latest QuarterIndependent broker-dealer has 600-plus financial advisors, and recruited advisors have rising fees, commissions and sales.
November 16, 2009
Mr. Dodd's Message from WashingtonNow that we have heard from both the House and Senate committees on finance and banking about investor protection, let's not misinterpret what they are saying.