Brokerage firms have long managed assets in employer-sponsored retirement accounts, but offering specific investment advice to individual plan participants has always been off-limits to reps. That could change very...
Rick Frueh, chairman and CEO of GunnAllen Financial, an independent full-service brokerage firm in Tampa, Fla., has been busy of late poaching senior managers from rival firms.
In the June issue of Registered Rep., we wrote a short REPort about UBS and Goldman Sachs attempting to predict the outcome of the World Cup. UBS predicted right.
The brokerage industry is an increasingly difficult job market to break into, and an even harder one to stay around in. But for those who succeed, it continues to provide a pretty nice living, according to the SIA&...
If you are a rep who works for Citigroup or Morgan Stanley, you might be annoyed to see your company’s name in the papers for running afoul of the new conflicts of interest and research.
What do ELKS, ASTROS, BULS, ARNs, BOXES and ComPS all have in common? They’re all part of the fledgling “structured products” boom. Wirehouses and banks are marketing them as diversification tools
How did a homeless man with no credentials or experience get in the door and rise to the top as a stockbroker at two of the Street's most prestigious names, then go on to make millions running his own firm?
