Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Good News for B/D Reps Who Switch
By Melanie WaddellNASD reverses itself on bulk transfers of client accounts
November 30, 2004
NASD Announces $9.2 Million In Disclosure FinesNU Online News Service, Nov. 30, 2004, 6:59 p.m. ESTSecurities regulators want securities firms to do a better job of reporting problems with brokers.[@@]NASD, ...
November 29, 2004
LTCI Partners To Start Sacramento OfficeNU Online News Service, Nov. 29, 2004, 3:47 p.m. ESTA Libertyville, Ill., long term care insurance broker is expanding.[@@]The broker, LTCI Partners L.L.C., has ...
November 24, 2004
WellChoice Unit Adds Web Group Renewal FeatureNU Online News Service, Nov. 24, 2004, 3:27 p.m. ESTEmpire Blue Cross Blue Shield, New York, is beefing up its online broker support services.[@@]Empire, ...
November 23, 2004
NCOIL Proposes Broker Comp Model LegislationNCOIL Proposes Broker Comp Model LegislationByThe National Conference of Insurance Legislators has proposed model legislation aimed at curbing abuses in broker compensation that have been ...
November 22, 2004
New York Broker To Buy Worksite MarketerNU Online News Service, Nov. 22, 2004, 5:43 p.m. EST Duck Key, Fla.USI Holdings Corp., Briarcliff Manor, N.Y., has acquired Benefit Partners of America ...
November 22, 2004
Lawmakers Consider Broker Suitability RequirementThe National Conference of Insurance Legislators is weighing in on the broker compensation issue.[@@]The Albany, N.Y., group has proposed model legislation that responds to ...
November 17, 2004
Academic Pans Litigious Approach To Broker ReformA risk management professor is questioning whether a barrage of regulator subpoenas and lawsuits is the right way to change commercial insurance broker compensation ...