Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Bars Ex-Primerica Rep Accused of Faking CE Completion Documents
By Jeff BermanThe Florida Department of Financial Services suspended the ex-broker for six months over the allegations in 2020.
January 12, 2022
Cambridge's Amy Webber on Leadership and the Shrinking Labor MarketThe Cambridge Investment Research executive weighs in on challenges the industry is facing, artificial intelligence and the pandemic.
January 11, 2022
RBC Wealth Adds 4th Female Exec Committee MemberJanet Boie is the second woman to be appointed to the committee over the past six months, according to the firm.
January 10, 2022
SEC Bars Ex-Advisor Charged With Defrauding At Least 100 ClientsThe ex-Raymond James and Alliance Global Partners rep faced 37 client complaints in two years, according to FINRA.
January 10, 2022
Raymond James Hires Private Wealth ChiefKevin Ruth, who's worked at Fidelity, Merrill and UBS, will focus on advisors and efforts to best serve HNW and UHNW clients.
January 07, 2022
Ex-Advisor Pleads Guilty to Role in $9.3M Ponzi SchemeThe ex-advisor allegedly sold to clients investments misrepresented as annuities and secured notes with no risk of loss.
January 06, 2022
Expect Reg BI Enforcement Actions, DOL Rollover Crackdown in 2022Susan Schroeder, Phyllis Borzi and others discuss big developments afoot at the SEC and Labor Department.
January 06, 2022
Ex-Rep Pleads Guilty to Role in $50M Fraud SchemeA former registered representative pleaded guilty to one count each of conspiracy to commit wire fraud and securities fraud.