Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Advisors Expect M&A Surge in Next 12 Months: Nationwide
By Michael S. FischerAdvisors "are more bullish about M&A than we've seen in years," Nationwide's Craig Hawley says.
September 21, 2021
How Proprietary Advisory Platforms Conflict With Fiduciary StandardsTo keep assets flowing to their best profit centers, some BDs are keeping their advisors in the dark on better offerings.
September 20, 2021
FINRA Fines Ex-Merrill Rep Who Hid Felony Drug ChargesThe broker was charged with possessing more than 10 pounds of marijuana and lied about it on two U4 forms, FINRA says.
September 17, 2021
FINRA Sweeps BDs on Use of Social Media Influencers, Referral ProgramsThe sweep focuses on practices related to customer acquisition through channels like TikTok, Facebook and Reddit.
September 16, 2021
12 Best Countries for Retirement Security: 2021The U.S. fell one spot from 2020 in Natixis' annual ranking.
September 16, 2021
MassMutual to Pay $4M Fine Over 'Roaring Kitty' Posts"It's clear that MassMutual was not as diligent as it should have been in supervising its employees," Galvin said.
September 16, 2021
Morgan Stanley Targets Millions of New Customers After M&A SpreeDeals with E-Trade, Eaton Vance and others have grown the firm's base to 14 million relationships with $8 trillion in held-away assets.
September 15, 2021
Quarter of RIAs Now Charge Flat Fees: StudyIn a survey Advyzon also asked advisors how they preferred to bill their clients.