Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
January 01, 2005
Broker/Dealer Special Report: Branch Managers--Helping HandWith the forecast for Santa Monica last October 15 showing pleasant skies and a high temperature near 70, the pool at the historic Fairmont Miramar...
December 29, 2004
Dealer Fines Increase: NASDNU Online News Service, Dec. 29, 2004, 3:15 p.m.The National Association of Securities Dealers collected more fines ...
December 07, 2004
Spitzer Announces Gubernatorial Run On BlogNU Online News Service, Dec. 7, 2004, 5:45 p.m. EST"I'm Running for Governor."[@@]New York Attorney General Eliot Spitzer made that declaration today in a ...
December 06, 2004
Good News for B/D Reps Who SwitchNASD reverses itself on bulk transfers of client accounts
December 06, 2004
BISA Survey Detects Slowing SalesNU Online News Service, Dec. 6, 2004, 5:12 p.m. ESTBank-based brokers are reporting a 24% drop in productivity for September.[@@]Brokers who work in banks ...
December 03, 2004
NFP: Contingent Comp Small Part Of Benefits CompNU Online News Service, Dec. 3, 2004, 6:02 p.m. ESTA rapidly growing financial services distributor says only a small part of its group benefits ...
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 ...