Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Upholds Bar of Ex-RBC Broker Accused of Taking $1M After Trading Error
By Jeff BermanThe broker, who returned the money after RBC corrected the error, said he didn't know he'd received it by mistake.
October 07, 2021
Merrill to Pay $850K FINRA Fine Over Short Sale ViolationsThe wirehouse misapplied the SEC-approved Multi-day Approach on at least 6,000 occasions, FINRA alleged.
October 06, 2021
BlackRock Adding Annuities to 401(k) PlansThe firm expects over 120,000 U.S.-based 401(k) plan participants will be able to access the annuity option starting in 2022.
October 06, 2021
20 U.S. Companies With Digital Asset Exposure: BofAIn several sectors, stocks tied to digital assets could see their market value expand, BofA says in a new report.
October 06, 2021
FPA Launches Support Community for Neurodivergent Financial PlannersThe Neurodivergent Planner Knowledge Circle will explore the needs of planners with autism, ADHD, dyscalculia, dyslexia, Tourette syndrome and other learning variations.
October 06, 2021
FINRA Bars Ex-Primerica Broker Charged With Elder TheftThe former broker allegedly misappropriated two older siblings' funds, bilking them out of over $1.5 million, says a New Jersey prosecutor.
October 06, 2021
NASAA Wants to Rein in Advisors Who Fail to Pay Arb AwardsPublic comments are sought about model rules that could prompt enforcement actions by NASAA members against violators.
October 06, 2021
Cathie Wood's Ark Leaving New York for FloridaThe firm will open its new headquarters on Nov. 1 in St. Petersburg, which is home to Raymond James and Dynasty Financial.