John Simmers

• B/D News & Products

  By Staff Writer  |  February 1, 2008

  On January 8, James Cayne of Bear Stearns announced his plan to step down as CEO, effective immediately, though he will stay on as chairman...

• Woodbury's Brian Murphy Takes FSI Chair

  By Staff Writer  |  January 3, 2008

  Woodbury Financial Services Chairman Brian Murphy will chair the Financial Services Institute's (FSI) board of governors for 2008, according to a January 2 FSI announcement.

• FSI Elects '08 Leaders

  By Janet Levaux, AdvisorOne  |  January 2, 2008

  The Atlanta-based Financial Services Institute, or FSI, says the industry group's board of directors has unanimously elected Brian Murphy, chairman of Woodbury Financial Services of Woodbury, Minn., a

• Interesting Times

  By Kathleen McBride, AdvisorOne  |  June 1, 2007

  Sweeping changes are whirling across the independent broker/dealer landscape in 2007, with major changes at, and coming from, the NASD, SEC, and potentially, Congress. Although...

• Exemption Vacation

  By Kathleen McBride, AdvisorOne  |  May 1, 2007

  "To be, or not to be?" a fiduciary (with all apologies to Bill Shakespeare) is the question of the hour for broker/dealers. While nobody is...

• The independent model is the right way to do it

  By John Sullivan, AdvisorOne  |  April 1, 2007

  Rulemaking by enforcement, product suitability and -- of course -- the NASD/NYSE merger were hot topics at this year's Financial Services Institute OneVoice Broker/Dealer Conference...

• New President for ING Advisors Network

  By James J. Green, AdvisorOne  |  March 30, 2007

  ING announced March 21 that Randall Ciccati, president and CEO of PrimeVest Financial Services, will replace Valerie Brown as president of ING Advisors Network, effective April 1.

• An Independent Voice

  By Kathleen McBride, AdvisorOne  |  March 1, 2007

  The Financial Services Institute (FSI) kicked off its annual conference at Disney World in Orlando, Florida, on January 29 with the group's new chair, John...

• March 2007

  By Staff Writer  |  March 1, 2007

  NASAA, the state securities regulators association, reported that between 2004 and 2005, 26% of the 3,635 state enforcement actions dealt with the financial exploitation of...

• A Catalyst of Change

  By Kathleen McBride, AdvisorOne  |  February 1, 2007

  Perhaps the catchword for independent broker/dealer business for 2007 is change. As John Simmers becomes chairman of the Financial Services Institute (FSI), unprecedented change is...