Broker Dealers

Displaying 2795 results
Behind the management shake-up at LPL
NEWS BROKER DEALERS APR 19, 2012
Behind the management shake-up at LPL

Mark Casady reveals reasons for recent changes at indie B-D

By Bruce Kelly
NEWS BROKER DEALERS APR 18, 2012
LPL isn't only B-D that hits brokers with an affiliation fee

LPL Financial LLC isn't alone in charging registered representatives and financial advisers a flat fee for doing business with the firm

By Bruce Kelly
FSI to hike fees dramatically
NEWS BROKER DEALERS APR 16, 2012
FSI to hike fees dramatically

The Financial Services Institute Inc. is planning to finance its beefed-up lobbying efforts with big dues increases to its broker-dealer member firms.

By Jeff Benjamin
NEWS BROKER DEALERS APR 16, 2012
Is the independent broker-dealer model really 'severely flawed'?

This week, when Ric Edelman revealed that he plans to wind down his independent contractor business, he labeled the model 'severely flawed', and stirred up - not surprisingly - a good deal of conversation across the industry.

By Mark Bruno
Pair of top Morgan Keegan advisers fly the coop
NEWS BROKER DEALERS APR 10, 2012
Pair of top Morgan Keegan advisers fly the coop

Duo leave ahead of merger with Raymond James; 'wouldn't have left in a million years'

By Andrew Osterland
Morgan Keegan loses dismissal bid in $8B Fairfax suit
NEWS BROKER DEALERS APR 04, 2012
Morgan Keegan loses dismissal bid in $8B Fairfax suit

Morgan Keegan, the brokerage being sold to Raymond James Financial Corp., lost its bid to be dismissed from an $8 billion lawsuit brought by Canadian insurer Fairfax Financial Holdings Ltd.

By Doug Cubberley
NEWS BROKER DEALERS APR 04, 2012
Capital Analysts bought by Lincoln Investment Planning

By Bloomberg
LPL makes major executive moves
NEWS BROKER DEALERS APR 03, 2012
LPL makes major executive moves

Broker-dealer powerhouse LPL on Wednesday announced it's rejiggering its top brass. The main move: firm veteran Esther Stearns is being moved out to head a new subsidiary.

By Bruce Kelly
NEWS BROKER DEALERS APR 03, 2012
Indie B-D to hit some RIAs with up to $20K in new fees

By Bruce Kelly
NEWS BROKER DEALERS MAR 29, 2012
Edward Jones and Commonwealth tops with advisers

Pair of firms ranked No. 1 in J.D. Power and Associates for second year in a row

By AOSTERLAND
NEWS BROKER DEALERS MAR 20, 2012
The Reformed Broker: The day I realized 'the end was near'

The following is an excerpt from <a href=http://www.amazon.com/Backstage-Wall-Street-Insider%252019s-Investments/dp/007178232X/ref=sr_1_1?ie=UTF8&amp;qid=1333988682&amp;sr=8-1>Backstage Wall Street: An Insider's Guide to Knowing Who to Trust, Who to Run From, and How to Maximize Your Investments</a>, written by Josh Brown, vice president and financial adviser at Fushion Analytcis Investment Partners.</a>

By Josh Brown
NEWS BROKER DEALERS MAR 14, 2012
Lincoln to hit some RIAs with up to $20K in new fees

Lincoln Investment Planning Inc., a fast growing independent broker-dealer, is hitting its reps and advisers who run their own RIAs with a new, annual supervision and compliance fee of up to $20,000.

By Bruce Kelly
NEWS BROKER DEALERS MAR 14, 2012
Wandering herd: Merrill losing top advisers

By John Goff
All's not well for execs who sold First Allied
NEWS BROKER DEALERS MAR 12, 2012
All's not well for execs who sold First Allied

Chairman and CEO of Advanced Equities told they're under investigation by the SEC; sold B-D last year

By Lynne Marek
NEWS BROKER DEALERS MAR 09, 2012
Keegan producers may find retention deals disappointing

By Bloomberg
NEWS BROKER DEALERS MAR 08, 2012
LPL is gunning for hotshot reps

By Bruce Kelly
NEWS BROKER DEALERS MAR 04, 2012
Ex-GunnAllen boss sets sights on small B-Ds

By Bruce Kelly
NEWS BROKER DEALERS FEB 27, 2012
Broker-dealer's parent gets its stock out of hock from a pawn shop

By Bloomberg
MCL Financial: Another big seller of alternative investments goes under
NEWS ALTERNATIVES FEB 14, 2012
MCL Financial: Another big seller of alternative investments goes under

There's no letup in sight for broker-dealer closings. Today, MCL Financial -- yet another small brokerage that focused on selling illiquid alternative investments -- has been shuttered.

By Bruce Kelly
NEWS BROKER DEALERS FEB 08, 2012
Chart of the day: LPL down nearly 10% on earnings miss

LPL posted a profit for the fourth quarter, but missed its earnings estimates causing the stock to drop nearly 10% today.

By Mark Bruno