Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Dings Ex-UBS Rep for Failing to Repay Promissory Notes
By Jeff BermanThe wirehouse had alleged its former advisor failed to repay more than $540,000 when he resigned.
September 24, 2021
Ex-Broker Gets 35 Years in Prison for $25M Scam Targeting SeniorsThe ex-rep and his co-conspirators sold speculative securities and pocketed much of the proceeds, prosecutors said.
September 24, 2021
Trendspotter: Wirehouse Rep Decline Shows No Signs of StoppingFor advisors, the alternatives to Merrill, Morgan Stanley, UBS and Wells Fargo grow ever more compelling.
September 23, 2021
Advisors Expect M&A Surge in Next 12 Months: NationwideAdvisors "are more bullish about M&A than we've seen in years," Nationwide's Craig Hawley says.
September 23, 2021
18 Quality Stocks That Took a Beating This SummerThese stocks look undervalued to Morningstar analysts
September 23, 2021
$1.75B Advisor Team Ditches Merrill for Dynasty"We now have the ability to be solutions based, not product driven," the new firm's CEO said.
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.