Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
George C. Van Dusen III
By staff WriterGeorge C. Van Dusen III, president of Diversified Brokerage Services Inc., received the 2008 Douglas Mooers Award for Excellence. He has been in the industry for over 40 years, and helped develop the electronic pending business system in 1974. Van
January 01, 2009
Fixing Fiduciary FailingsThe Retirement Advisor Profile The advisor: Blaine Aiken The firm: fi360 The Web site: www.fi360.com The approach: Promoting the fiduciary standard worldwide, and educating companies and individuals as to...
January 01, 2009
New Year, Same Issues?It's no secret that the securities and investments industry in 2009 will be shaped by the ramifications of 2008's events. According to a new series...
January 01, 2009
What to Expect at the Wirehouses in '09Several months before Bank of America agreed to buy Merrill Lynch, industry expert Chip Roame of Tiburon Strategic Advisors shared his prediction of such an...
January 01, 2009
New Tax Lot AccountingGetting on top of the tax lot requirements put forth by the Internal Revenue Service (IRS), which was rolled into the $700 billion bailout legislation,...
January 01, 2009
Putting on the RitzFor years, Ted Charles was the face -- and outward personality -- of Investors Capital Holdings. No longer. In August, longtime heir apparent Tim Murphy, 44,...
December 29, 2008
New Year's resolutions for successIt's just a couple of more days before we turn the page on 2008 and usher in 2009. This year has been tough on many in the financial services industry. I've spoken with many of you, either by phone or e-mail, to get your feedback on the
December 18, 2008
Obama's Schapiro selection already facing scrutinyObama's selection of Mary Schapiro to head the Securities and Exchange Commission is already coming under fire. Wall Street Journal political reporter T.W. Farnum, claims...