Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Fidelity Launches New Equity Management Solution for Private Companies
By Jeff BermanThe company has teamed with Shoobx, a capitalization table management provider, on the initiative.
July 19, 2021
Schwab Trading Platform Outage Annoys InvestorsCertain online functionality was unavailable to at least some investors on Monday morning, the firm said.
July 19, 2021
RBC Fires Advisor Charged With Kidnapping, BatteryThe advisor allegedly beat a woman and held her against her will in his Florida home less than three weeks after being arrested for battery of another woman.
July 15, 2021
Morgan Stanley Sees Big Gains in Wealth, Investment Banking: Q2 EarningsThe wealth unit had over $6 billion in revenue and $34 billion in fee-based inflows in the latest three-month period.
July 15, 2021
New LPL Program Helps Advisors Take Short-Term LeaveThe program provides client-service coverage for up to nine months of family and medical leave.
July 13, 2021
15 Advisors Moved to Janney in Q2 From Merrill, Wells Fargo, Other RivalsThe recruits added more than $3.8 billion in assets under advisement to Janney during the quarter.
July 13, 2021
Raymond James Adds 12 Ex-Wirehouse Advisors Managing $2.2BThe additions grow the firm's footprint in South Florida.
July 12, 2021
U.S. Bank Buys PFM Asset Management BusinessThe unit will keep operating as a separate entity; PFM's financial advisory business is not part of the deal.