Results for "independent broker-dealers"

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NASD tackles thorny broker issue

February 2, 2004

NASD regulators have been digging deeper and deeper into one of the brokerage industry's most sensitive issues: how a firm discloses customer complaints about its brokers. Over the past couple of years, NASD has created an exclusive group to...

Mass exodus at Edward Jones

January 26, 2004

Unprecedented growth at Edward Jones over the past decade has accelerated a shift in culture that pushed as many as 1,300 brokers out the door during the first eight months of 2003, according to brokers who recently left the firm, and industry...

News is good, but ...

January 19, 2004

The opportunities for growth in the independent-broker-dealer industry have never been more apparent for firms and brokers with the know-how and wherewithal to seize them. That said, a panel including top industry executives, among others, has...

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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