Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Mariner to Buy $26B Firm, LPL Partner
By Janet LevauxThe Financial Services Network is set to operate as Mariner Advisor Network and maintain its strategic relationship with LPL Financial.
July 15, 2022
TD Ameritrade Makes More Thinkorswim Enhancements: Tech RoundupAlso, Schwab Advisor Services introduces new enhancements to its onboarding capabilities.
July 15, 2022
Wall Street Texting Habit Sticks Banks With Rare $1B BillRegulators have zoomed in on Bank of America, Citigroup, Goldman Sachs, JPMorgan and Morgan Stanley over record-keeping lapses.
July 14, 2022
Cetera Reports More Than $3.6B in New Assets For Q2The record result followed key additions to its sourcing and engagement team, the firm says.
July 14, 2022
Schwab Renames Private Client OfferingTimothy Welsh calls the change a "signal Schwab wants to compete more broadly with a full-service offering."
July 14, 2022
Ex-Broker Charged With Murdering BofA Exec Wins Right to See Police FilesAnthony Duwayne Turner, charged with killing his ex-girlfriend Michelle Avan, can examine files for evidence of police misconduct.
July 14, 2022
Morgan Stanley to Pay $200M Over Misuse of Personal DevicesEarlier, regulators imposed a similar fine on JPMorgan, noting that managers had used WhatsApp and personal email for work.
July 14, 2022
David Canter to Join Kestra's Bluespring as PresidentThe news comes two days after Fidelity said Canter would step down as head of its RIA segment.