Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Insurance Salary Forecast: Up
By staff WriterThe insurance industry is forecasting higher salary increase budgets than all other industries in all employee categories for 2010.
September 01, 2009
Morgan Stanley Smith Barney: New ETF Policy, 2Q'09 ResultsMorgan Stanley Smith Barney says it is placing certain restrictions on the sale of leveraged, inverse and leveraged-inverse exchange-traded funds (or ETFs) in response to...
September 01, 2009
Broker/Dealer of the Year, Division IIISigma Financial Corp. President and CEO Jerome Rydell Candid quote from a Sigma rep: There are no unsurmountable obstacles at Sigma, just minor speed bumps. Founded: 1983 Producing Reps: 599 2008...
September 01, 2009
Suits Against Financial Firms Driving Litigation ActivityWhile federal securities class action activity declined in the first half of 2009, with a particularly significant decline in the second quarter, suits against financial...
September 01, 2009
Where Representatives Would GoThis year, more than many others, many representatives of broker/dealers are reassessing their options when it comes to with whom, and how, they will affiliate....
September 01, 2009
Broker/Dealers of the Year, Through the YearsThis is the 19th year that Investment Advisor readers have chosen Broker/Dealers of the Year. During the first four years of voting, the top five...
September 01, 2009
Broker/Dealer NewsThe Securities and Exchange Commission announced a settlement August 3 against Bank of America for misleading investors about billions of dollars in bonuses that were...
September 01, 2009
Broker/Dealer of the Year, Division IVWoodbury Financial Services Chairman and CEO Brian Murphy Candid quote from a Woodbury rep: This is my fourth B/D, and the first I've been with that had all...