Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA on Supervision: Not a Boss, Not Your Problem (Even If You're a CCO)
By Melanie WaddellCCOs are not automatically supervisors and subject to enforcement action, the regulator says.
March 16, 2022
Advisors Happy With Outsourced Investment Management: SurveyAssetMark, a TAMP, found that most advisors who had chosen outsourcing were satisified with their decision.
March 16, 2022
DOL Withdrawal of Independent Contractor Rule Violated Law, Judge RulesFSI says the rule gives advisors and firms certainty that they are indeed independent.
March 16, 2022
Ex-LPL, Wells Rep Stole $500K, Gambled With Client Money, Prosecutor SaysIf convicted of stealing over $500,000 from clients, the barred broker faces a maximum of 65 years in prison.
March 16, 2022
How Direct Indexing Helps Clients Cope With Market Volatility, TaxesMonali Vora, a partner at Goldman Sachs Asset Management, says every client wants a portfolio tailored to their financial goals.
March 11, 2022
FINRA's Top 5 Fine Categories in 2021Fines in 2021 saw a "dramatic bump," driven by a record-setting fine.
March 10, 2022
Ex-Merrill Advisor Who Hurled Drink, Racist Insults Seeks ProbationFacing three charges, James Iannazzo is looking to apply for a pretrial probation program.
March 07, 2022
How Advisors Do the Party CircuitSpring brings opportunities for advisors to mingle with coveted prospects.