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January 18, 2011

Top Independent Broker-Dealers According to Investment News

RANK Broker-dealer Total gross revenues 1 LPL Investment Holdings Inc. $2.8B • LPL

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November 26, 2010

Largest Independent Broker-Dealers

According to the Investment News, the following are the top broker-dealers (ranked

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October 29, 2010

FINRA Fines For Mutual Fund Sales Practices

In or about 2009, FINRA fined 25 broker-dealers a total of $2,145,000 for failures

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