Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Broker/Dealer Briefing: John Simmers of ING
By James J. GreenJohn Simmers, who in his 30-year career helped consolidate ING's roster of broker/dealers into the four B/Ds that comprise the ING Advisors Network, has retired from the...
May 01, 2009
B/D News & ProductsThe U.S. House of Representatives approved legislation in early April that would tie pay to performance at companies that have received direct capital investments under...
April 30, 2009
More e-mail marketing plans that work1 Plan for holidays and special occasions. Many marketers cash in big on holidays.
April 29, 2009
NAIBD beefs up programs to meet growing interestIn response to a surge of interest in the independent advisory business, the National Association of Independent Broker/Dealers (NAIBD) says it's bolstering its independent broker/dealer...
April 23, 2009
Credit where credit's due"Well, the last administration did it." I'm consistently amazed by this rationale offered by defenders of the current administration for blatantly wrong-headed moves. Rack up...
April 22, 2009
Morgan Stanley FAs Boost Sales in Q109Its reps now have annualized revenue of about $630,000, which is close to 20 percent drop for the previous year's $772,000 but above the $603,000 of the quarter ended December 31, 2008.
April 20, 2009
Merrill Boosts BofA's Q109 ResultsBank of America Corporation has reported first-quarter 2009 results that include Merrill Lynch, bought January 1, 2009, and Countrywide Financial, bought July 1, 2008.
April 15, 2009
Retention Plans, Bonuses and Your FutureShould you leave a firm if you don't get a bonus? Or even if you get a bonus, is it worth staying?