Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Slows Fines and Enforcement Actions
By Melanie WaddellB/Ds and reps saw fewer fines and enforcement actions in 2008
June 01, 2009
Wachovia Securities Rebrands, Becomes Wells Fargo AdvisorsWachovia Securities is now using the Wells Fargo Advisors name, officially rebranding its business under its new parent, Wells Fargo & Company, the company says. "Today,...
June 01, 2009
LPL Financial Advisor to Aid Professionals 'in Transition'Bob Fragasso, president of Fragasso Financial Advisors in Pittsburgh, says the LPL Financial-affiliated firm is offering some services for free to local professionals who have...
June 01, 2009
Advisors Ask Who's Trustworthy?It seems like a pretty straightforward question. Until a year ago, we probably didn't give it much thought. Now, it seems like everyone is asking...
June 01, 2009
When Less Is MoreIt appears that the best broker/dealers limit the number of investment vehicles on their approved list. That's one of the findings of The Art of...
June 01, 2009
B/D News & ProductsThe Financial Industry Regulatory Authority (FINRA) is proposing a major expansion of its BrokerCheck service which would make records of final regulatory actions against brokers...
June 01, 2009
SEC's Walters Backs Harmonizing B/D, Advisor RulesYet another top official at the SEC is championing the idea of harmonizing rules for investment advisors and broker/dealers. In a speech before the Mutual...
June 01, 2009
Coming to an RIA Near YouOne of the scenarios arising from the financial crisis and frauds like the one perpetrated by Bernie Madoff will be greater regulation of broker/dealers. However,...