Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Advisor Group Names 3 Executives to New Posts
By Janet LevauxTim Hodge, Jen Roche and Aisha Adams have previously worked at firms like LPL, AssetMark and Lincoln Financial.
February 22, 2022
Baird Nabs $850M Morgan Stanley RepsThe advisors move from the wirehouse to Baird in Yakima, Washington, and Durango, Colorado.
February 18, 2022
FINRA Orders Review of Wells Fargo Arb Ruling That Was Struck Down in CourtA judge ruled that Wells Fargo had manipulated the arbitrator selection process.
February 18, 2022
Edward Jones Sets Office Return Date With Flexible Work PolicyThe broker-dealer's home office staff will have the option of working on-site full time, remotely or a hybrid of the two.
February 18, 2022
New Court Date Set for Suspect in Merrill Exec's MurderThe next hearing for the former colleague and ex-boyfriend of slain Bank of America executive Michelle Avan will be on March 22.
February 16, 2022
Ex-Broker Gets 7 Years in Prison Over $2.4M Scam Targeting Older ClientsThe ex-broker told investors they were funding a shopping app but spent their money on gambling, jewelry and other items, prosecutors said.
February 15, 2022
Fidelity Adds Tactical Bond Mutual FundThe fund allows investors to allocate their assets across the spectrum of the debt market, the firm says.
February 15, 2022
Judge Awards $900K to Eye Doctor Bilked by ex-Wells Fargo AdvisorThe former rep was arrested in October in the theft of over $2.86 million from five clients.