Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Ex-Merrill Rep Who Scammed Pastors Sentenced to 7 Years in Prison
By Jeff BermanThe former broker had pleaded guilty to one count of securities fraud and admitted to swindling millions of dollars from victims in several states.
December 03, 2021
10 Worst Financial Advisors in America: 2021This year's worst advisors allegedly committed some of the usual crimes—and some that will definitely surprise you.
December 02, 2021
New Court Date Set for Suspect in Merrill Exec's MurderThe next court date is Jan. 20 to set a date for a preliminary hearing for Anthony Duwayne Turner, accused of killing Michelle Avan.
December 02, 2021
The Do's and Don'ts of Using Client TestimonialsLarry Sprung of Mitlin Financial, an early adopter of testimonials, discusses some best practices and how to stay out of trouble.
December 01, 2021
Cetera Expands Investor Acquisition Program to All Its AdvisorsOnly a little more than 100 of the firm's advisors have been using LeadEngine until now, it says.
November 30, 2021
Ex-Merrill Broker Says He's Relieved After Do-Not-Call Allegation ExpungedAn arbitrator for FINRA called the allegation made by Merrill against its former broker defamatory in a recent decision.
November 30, 2021
5 Reasons Going RIA Beats the IBD ModelIt's not an accident that the RIA channel is the fastest growing.
November 30, 2021
FINRA Bars Ex-Morgan Stanley Rep Accused of Using Client Credit Line for HimselfThe former broker also faced multiple client complaints alleging he misappropriated funds or made unauthorized withdrawals, FINRA says.