Results for "independent broker-dealers"

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Top indy broker-dealers post a modest gain

January 19, 2004

The leading independent-broker-dealer firms participating in this year's InvestmentNews survey eked out, in aggregate, a modest gain in gross revenue compared with last year's. That tally includes a range of fiscal-year reporting periods, in...

A nasty surprise on dividends

January 12, 2004

A dividend tax rule change may catch some investors and advisers by surprise. The new rule may also put the interests of broker-dealers, stockbrokers and their clients in conflict with one another, according to accountants and analysts. If investors...

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