Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Smith Barney Veteran Joins Baird
By Janet LevauxBaird continues to attract wirehouse advisors, like Dennis Rowland, as it opens new offices nationwide.
February 01, 2010
Blood in the WaterOver the past few years, there has been a massive feeding frenzy among broker-dealers. Financial advisor recruiters (sharks), both independent and proprietary, are always out...
February 01, 2010
Broker/Dealer Briefing: New Leader for FSIWe caught up with Mari Buechner, CCO and CEO of Coordinated Capital Securities, Inc., of Madison, Wisconsin, after her election as the new chair of...
February 01, 2010
Securities Lawsuits DownThe number of federal securities class action law suits filed in 2009 dropped sharply according to the recently released report, Securities Class Action Filings--2009: A...
February 01, 2010
Broker/Dealer NewsThe Municipal Securities Rulemaking Board (MSRB) has launched a Web site called Electronic Municipal Market Access (EMMA) www.emma.msrb.org, that provides free access to a powerful...
February 01, 2010
Benjamin 'Tad' Edwards: A Start-Up with PedigreeBenjamin "Tad" Edwards IV CHAIRMAN, CEO & PRESIDENT; BENJAMIN F. EDWARDS & CO; CLAYTON, MO. SOUND BITE: "The most important thing is we are a client-first firm....
February 01, 2010
UBS Adjusts FA-Recruiting Packages: Pushes Total Bonuses Up to 260-280%Under the leadership of former Merrill Lynch executive Bob McCann, UBS Wealth Management Americas has introduced a new recruiting package. Though UBS' latest recruiting...
January 27, 2010
Independent Broker/Dealers Celebrate Earned CredibilityFSI lays out its agenda, starting with preservation of independent contractor status