Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Focus on the Optimal Client
By James J. GreenSuccession planning was a recurrent theme at Pershing's 2007 Insite conference
June 01, 2007
NEWS & PRODUCTS, June 2007NASD has fined two Fidelity broker/dealers for preparing and distributing misleading sales literature promoting Fidelity's Destiny I and II Systematic Investment Plans, which were sold...
June 01, 2007
Voices of Authority: The IA Presidents' PollFor the first time this year, when we sought to measure the independent broker/dealer world for the IA Broker /Dealer Directory, we sought direct input...
June 01, 2007
If my current employer chooses to go after me for leaving, what can I expect?Typically, an employer will send a cease and desist letter to the advisor. This letter will remind the advisor that he has certain obligations set...
June 01, 2007
The Good, The Bad, and The Supporting DataThe bad news first--wealthy investors don't have much loyalty to most brokerage firms, according to a recent national study by Cogent Research, Investor Brandscape: 2007,...
June 01, 2007
IA's B/D Advisory Board SpeaksJust in time for this Broker/Dealer Special Report, Investment Advisor convened a conference call in May with the IA Broker/Dealer Advisory Board, composed of the...
June 01, 2007
Aligning With Their Reps"The best way to grow our business is to help our advisors grow theirs," says Joel Marks, referring to the reps of Advanced Equities Financial...
June 01, 2007
Interesting TimesSweeping changes are whirling across the independent broker/dealer landscape in 2007, with major changes at, and coming from, the NASD, SEC, and potentially, Congress. Although...