Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Rethinking Risk in Retirement Planning
By Justin FitzpatrickDownward income adjustments are inconvenient, maybe even painful. But they don't mean financial ruin.
October 01, 2021
LPL Failed to Vet Client, Allowed Fraudulent Wire Transfers: SECThe client misappropriated $3 million from a Puerto Rican city after opening an LPL account, the SEC says.
September 30, 2021
David Komansky, CEO Who Led Merrill's Global Growth, Dies at 82The sale of Merrill to Bank of America in 2008 "broke my heart," Komansky said in a 2010 interview with Bloomberg Television.
September 30, 2021
Kitces: The 5 Trends Shaking Up the Advisor WorldA new wave of technological disruption is here, Michael Kitces says. What's an advisor to do?
September 30, 2021
Senator Warns SEC Chief Not to Crack Down on Trading AppsThe SEC's mission "does not extend to protecting investors from themselves," Sen. Pat Toomey writes.
September 29, 2021
FINRA Plan Sets Annual Fee for CE RequirementsThe fee would apply to members who take CE to remain qualified for up to five years after their registration is terminated.
September 29, 2021
DOJ, SEC Charge Ex-Advisor With Bilking 3 Older ClientsThe ex-broker used the money to pay for luxury cars, vacations, private school tuition and a gold necklace, according to the authorities.
September 29, 2021
The History of the Financial Planning Profession, Part 1Let's take a look at how the profession has evolved so we can better understand where it's going.