Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Warns BDs of Spike in E-Signature Forgeries
By Melanie WaddellThe regulator has received a growing number of reports about registered reps forging or falsifying client signatures.
August 04, 2022
12 Best & Worst Broker-Dealers: Q2 Earnings, 2022In the worst quarter for the S&P 500 since 2020, four big BDs reported earnings growth.
August 03, 2022
Ex-Advisor Sentenced to Almost 22 Years in Prison Over Fake-Annuity ScamThe former Allstate, LPL and Merrill Lynch broker was convicted of stealing over $9.3 million from clients.
August 03, 2022
New SEC Guidance Tackles How to Handle Conflicts of InterestIn addressing conflicts under Reg BI and the Advisers Act fiduciary standard, disclosure isn't enough, the SEC warns.
August 03, 2022
Robinhood Cuts 23% of StaffThe app-based brokerage dismissed 780 people and also announced the departure of a top executive Tuesday.
August 02, 2022
Mariner Wealth Adds $8.6B RIAHeber Fuger Wendin Investment Advisors, based near Detroit, focuses on work for community banks and credit unions.
August 02, 2022
Citi's New Wealth Unit to Add 500 JobsThe decision to expand the bank's wealth management offerings was "blindingly obvious," said Citigroup CEO Jane Fraser.
August 01, 2022
Raymond James Creates Advisor Network for VeteransVFAN's main goal is to continue enhancing the professional development and support of veterans working for the firm.