Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC Orders Advisory Firm to Pay $9M Over Short Sales
By Jeff BermanAdvisory firm Murchinson, its principal officer and trader caused brokers to violate Regulation SHO rules, the SEC alleged.
August 17, 2021
Next Court Date Set for Suspect in Veteran Merrill Exec's MurderA preliminary hearing for Anthony Duwayne Turner has been set for Sept. 30.
August 17, 2021
12 Investing Books You'll Actually Want to ReadThese late-summer reads, recommended by successful financial advisors, are both informative and entertaining.
August 16, 2021
FINRA Bars Ex-New York Life, Pru Rep Over Forged Annuity FormsThe former rep allegedly submitted applications for clients without their consent in order to meet production requirements.
August 16, 2021
FINRA Seeks Feedback on BDs' Cloud Computing PracticesFINRA seeking comments on new report, including areas where guidance or modifications to FINRA rules may be desired to support cloud adoption.
August 16, 2021
LPL, WEG Advisor Faces Child Porn ChargesWealth Enhancement Group says it terminated the advisor after his arrest last week.
August 16, 2021
Meet the LUMINARIES Class of 2021This pioneering recognition program shines a spotlight how advisors and firms are moving the industry forward in the areas that matter most to advisors.
August 13, 2021
Ex-Merrill Broker Gets 3.5 Years in Prison for Defrauding ClientsOne of the swindled clients had received a $5 million settlement for being wrongly convicted of kidnapping and murder.