Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
NEWS & PRODUCTS, JUNE 2008
By Staff WriterA $5 million fine imposed against American Fund Distributors (AFD) for directed brokerage in 2006 stands, according to a ruling issued by the National Adjudicatory...
June 01, 2008
Transfer TimeFor advisors pondering a move from a wirehouse to an independent broker/dealer with visions of large, forgivable transition loans dancing in their heads, it's time...
June 01, 2008
Power of the PlatformSchwab, Fidelity, and Pershing have a new competitor, now that LPL Financial has taken what many consider to be the next logical step as the...
June 01, 2008
Independents' OptimismSince the leaders of the Investment Advisor Broker/Dealers of the Year last met with the IA editorial team for an intense roundtable, in August 2007,...
May 28, 2008
Holiday retail rush falls shortAccording to the Wall Street Journal, U.S. shoppers spent furiously in the days just before Christmas. But, holiday retail sales appeared to still fall short...
May 28, 2008
The broker/dealer switch listDo I want to affiliate with a high profile or low profile broker/dealer? Advisors generally fall into one of two categories: those who want the...
May 28, 2008
Forever blowing bubblesBefore the current subprime mess hit, too many people referred to the situation as a housing bubble. Incorrect. I've said for some time it was...
May 28, 2008
Keep your schadenfreude in checkI've never been a Spitzer fan, even long before he became client No.9. His initial intentions as New York AG were indeed admirable, but absolute...