Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
B/D News & Products
By Staff WriterPali Capital, Inc., the U.S. subsidiary of Pali Holdings, Inc., announced that Joseph Schenk has joined the firm as COO, reporting to Brad Reifler, chairman...
August 01, 2008
Do You Believe Your Own Rhetoric?Most of you can easily tell a variation of this story: an advisor meets with a client or prospect who is nearing retirement--independence day for...
August 01, 2008
Number One Among the CompetitionThe old Latin expression, "Nemo iudex in causa sua," aptly expresses the skepticism with which one must assess one's own reputation--"No one can judge in...
August 01, 2008
Luck and the ChineseTwo huge casinos in Connecticut--Foxwoods and Mohegan Sun--send more than 100 buses every day to pick up customers in predominantly Asian neighborhoods of Boston and...
August 01, 2008
Springtime for BrokersAlthough the markets and the economy don't much appeal to practically anyone these days, it may be the perfect brew for breakaway brokers. Many are...
August 01, 2008
Not Slowing DownAs the biggest player in the independent broker/dealer space, LPL Financial would appear in the spotlight often enough for its sheer market share heft and...
July 31, 2008
Taking the Olympic spirit to your practiceThis month China will host a historic Olympic Games in Beijing. When I think of the Olympics, three major themes come to mind: Excellence, Competition, and Unity. These same attributes the athletes bring to the Games are both contained and needed
July 30, 2008
An Insider's View: Keith SingerFor this issue of Market Conduct & Suitability, Senior Market Advisor editor Daniel D. Williams spoke with Keith Singer, JD, CFP at Keith Singer Wealth Management in Boca Raton, Fla. to get his thoughts on compliance, suitability and senior