Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Pitt Pulls No Punches At Cadaret Grant Conference
By Kate McBrideWhat's the most challenging compliance issue facing advisors today?" asked former SEC Chairman Harvey Pitt at an interactive session of the Cadaret, Grant 2005 National...
October 18, 2005
Acordia Scoops Up California Benefits BrokerAcordia Inc. has acquired the assets of Cassidy Employee Benefit Services.[@@]Acordia, Chicago, is not saying how much it is paying for Cassidy, Pasadena, Calif., ...
October 17, 2005
Insurance Industry Donors Give More To DemocratsCampaign contributors in the insurance and securities industries seem to be warming up to Democrats, but bankers' interest in Democrats is holding steady.[@@]The Center ...
October 04, 2005
Eec Lauds Industry Support For Hurricane ReliefA Louisiana insurance executive reports more than 5,800 e-mail responses to her appeal for help with hurricane relief efforts.[@@]Robelynn H. Abadie, head of Abadie ...
October 03, 2005
Wholesaler Broker Acquires New York General AgencyEmerson, Reid & Company has acquired Dascit/White & Winston Inc. from a unit of National Financial Partners Corp.[@@]Emerson, Reid, New York, is a benefits ...
September 21, 2005
Clarifying ACLIs PositionTo The Editor:> In our recent filing with the National Association of Securities Dealers on its proposed variable annuity suitability and supervisor rule, ACLI ...
September 21, 2005
While Some Minimize Spitzer Impact, Regulator Warns Of Bigger Fallout AheadN.Y. deputy superintendent says stakes higher, players bigger in finite re scandalNew YorkWith the anniversary of Eliot Spitzer's lawsuit against Marsh & McLennan Companies ...
September 11, 2005
Blessed RespiteCongress is back in session after its August recess, but it doesn't seem like there will be much on the agenda that affects the life ...