Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Bars 2 Reps for Cheating on Remote Exams
By Melanie WaddellBoth reps were barred for accessing the internet while taking a FINRA registration exam online.
July 08, 2022
LPL Financial to Buy 108-Year-Old FirmLPL signed a deal to buy the Private Client Group business of Boenning & Scattergood in Pennsylvania.
July 08, 2022
Envestnet Buys Advisor Billing Provider: Tech RoundupAlso, the Digital Assets Council of Financial Professionals added a new online self-study course for advisors.
July 07, 2022
SEC's First Reg BI Action Singles Out Individual AdvisorsUntil recently, how the commission would interpret and enforce the new rules was largely unknown.
July 06, 2022
Best & Worst BDs for Advisors: J.D. Power, 2022Overall satisfaction is lowest among employee advisors with the longest tenure, representing a huge attrition risk to their firms.
July 06, 2022
Stifel Broker Killed in Highland Park ShootingStephen Straus worked for 54 years as a broker, 24 of them at Stifel.
July 06, 2022
Barred Broker Who Did Merrill Stint Indicted in $100M Crypto ScamJoshua David Nicholas and two other defendants were charged with conspiracy to commit wire fraud and securities fraud.
July 05, 2022
Morgan Stanley Fires 90-Year-Old Broker Arrested for Shooting Business PartnerLeonard David Bernstein shot Chris Bayouth as many as five times, according to police.