Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
J.P. Morgan Ordered to Pay $4M to Client in FINRA Arb Dispute
By Jeff BermanThe client alleged the firm made unsuitable trades in her account, including in high-risk equities and "junk bonds."
December 13, 2021
7 Worst Bogus Advisors in America: 2021The head of an investment club called Amongst Friends and a dentist were among those accused of running investment scams.
December 10, 2021
How a Top Raymond James Wealth Exec Gives Back, UnwindsPrivate Client Group President Scott Curtis tells ThinkAdvisor about his charitable activities and which market indicators he's watching.
December 10, 2021
Ex-LPL Rep Sentenced to 2½ Years in Prison for Stealing From Retired ClientThe former broker was also ordered to pay $639,580 in restitution and a special assessment of $100.
December 09, 2021
Advisors Help Make Investors Very Happy: StudyThose working with a financial advisor are three times happier than those managing their own money. Here's why.
December 08, 2021
Why Educating Clients Is Critical to Advisors' SuccessJacob Gold, a professor and third-generation financial planner, explains the value of helping others boost their financial literacy.
December 08, 2021
Watch Out for This Tax Bomb: Jamie CoxThe advisor and Wall Street Journal expert panelist shares his views on the latest economic issues and financial regulation.
December 07, 2021
Ex-Merrill Broker Arrested Over Charges Tied to $1M ScamThe former broker allegedly used investors' funds to buy a luxury car "and pay fees for a private golf club on Long Island," says the DOJ.