Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
2 More States Adopt Commission-Friendly Annuity Sales Rules
By Allison BellAdvocates of the model hope to ward off the imposition of a broad fiduciary standard.
November 22, 2021
Top Advisor News of 2021Some of the most unfortunate developments in the advice industry this year included crime and alleged discrimination.
November 22, 2021
SEC Charges Ex-Janney Rep With Running $9.6M Market Manipulation SchemeThe former broker allegedly used 18 securities accounts at 14 brokerage firms to artificially influence the market prices of 2,000-plus securities.
November 22, 2021
Bogus Broker Who Threatened to Kill Disabled Client Gets 5-Plus Years Behind BarsGregg Brie admitted to embezzling funds from three victims, two of whom lived in his New York apartment complex.
November 20, 2021
UBS Names Ex-Morgan Stanley President as ChairmanColm Kelleher, 64, will stand for election to succeed Axel Weber at the Swiss firm's annual meeting in April.
November 19, 2021
FINRA: Ex-Edward Jones Rep Made Over 800 Unauthorized TradesFINRA suspended and fined the former broker, saying he also falsely identified himself as a senior vice president of a clearing firm.
November 19, 2021
17 Top Financial Services M&A Deals of 2021M&A action involved BDs like LPL and Raymond James and asset managers like BlackRock, Vanguard and State Street.
November 18, 2021
SEC Bars Stock Trading Webcast Host Over Pump-and-Dump SchemeThe SEC and DOJ previously charged him with securities fraud in separate actions.