Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Mr. Dodd's Message from Washington
By Kate McBrideNow 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.
November 06, 2009
Petersen Changes Elimination Period DefinitionA broker that sets up high-end income protection programs has updated the way its plans treat insureds who suffer from two or more successive periods of disability.
November 06, 2009
ING to Sell Three B/DsSome 5,700 advisors with yearly fees and commissions of $650 million go to Lightyear Capital.
November 04, 2009
UBS Down 680 FAs in Q3After selling some 380 advisors to Stifel Nicolaus, UBS Americas now has 7,286 advisors in its ranks as of September 30, 2009.
November 04, 2009
Panel OKs Investor Protection Act BillMembers of the House Financial Services Committee have voted 41-28 to approve H.R. 3817, the Investor Protection Act, and insurance producer groups are still worried that the bill will hurt their members.
November 04, 2009
Panel OKs Investor Protection Act BillMembers of the House Financial Services Committee have voted 41-28 to approve H.R. 3817, the Investor Protection Act, and insurance producer groups are still worried that the bill will hurt their members.
November 02, 2009
RJ Recruits 750-Plus FAsRaymond James Financial has more than 5,300 financial advisors as of September 30, 2009.
November 01, 2009
Hybrids on the RiseThe September issue of The Cerulli Edge--U.S. Asset Management Edition, from the Boston-based research firm Cerulli Associates, found that asset managers have reacted to the...