Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Adopts Restricted Firm Rules
By Melanie WaddellThe rules impose new obligations on broker-dealers with a significant history of misconduct.
September 28, 2021
To Boost Diversity, Go 'Where the Talent Is': Ameriprise's Rudy RodriguezThe Ameriprise executive explains how the industry can better recruit and retain advisors from diverse backgrounds and communities.
September 27, 2021
A Strategy for When Your Friends Are Chosen for YouWhen chance or circumstance throws you and new people together, silence can be less than golden. Here are some pointers.
September 27, 2021
FINRA Dings Ex-UBS Rep for Failing to Repay Promissory NotesThe wirehouse had alleged its former advisor failed to repay more than $540,000 when he resigned.
September 27, 2021
Barred Broker With 37 Client Complaints Hit With SEC Fraud ChargesMichael Shillin is accused of deceiving more than 100 clients on matters including insurance, pre-IPO shares, taxes and retirement accounts.
September 24, 2021
This Top Raymond James Annuity Broker Runs a Record Label, Too"I should make an album: "Music for Emailing,'" jokes advisor Jeffrey Oster, who plays trumpet and flugelhorn.
September 24, 2021
Ex-Broker Gets 35 Years in Prison for $25M Scam Targeting SeniorsThe ex-rep and his co-conspirators sold speculative securities and pocketed much of the proceeds, prosecutors said.
September 24, 2021
Trendspotter: Wirehouse Rep Decline Shows No Signs of StoppingFor advisors, the alternatives to Merrill, Morgan Stanley, UBS and Wells Fargo grow ever more compelling.