Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Targets 'Game-Like' Digital Platforms
By Melanie WaddellAsked if it was concerned about potential FINRA sanctions, MassMutual says it's reviewing "Roaring Kitty" GameStop trading activity.
January 29, 2021
Atria Wealth Solutions Buying SCF SecuritiesOnce the deal wraps up, Atria's operations will include 2,500 financial professionals with $95 billion in assets under administration.
January 28, 2021
Fiduciary Advocates Call for Renaming SEC's Reg BIBrian Hamburger, Ron Rhoades and Knut Rostad say Gary Gensler, if confirmed as SEC chief, should rebrand the rule.
January 27, 2021
Solving the 'Diversity Problem' in the Financial Advisory IndustryA new Cerulli report describes the steps firms should take to add, and keep, more women and advisors of color.
January 26, 2021
Recruiter Diamond Consultants Names New PresidentThe news comes as the firm surpasses $200 billion mark for assets moved as part of advisor transitions it's facilitated.
January 22, 2021
Raymond James Adds $1.2B Bank Team From LPLThe firm is bringing on 17 advisors and 10 staff members from FirstBank's investment program in Tennessee.
January 22, 2021
Texas Broker Charged With Child Sexual Assault, IndecencySA Stone Wealth Management broker also was charged with an indecent assault on a female adult, according to court records.
January 22, 2021
5 Predictions for Advisors in Biden's First YearThe first 12-18 months of Biden's term will be largely spent unwinding Trump-era rules, Morningstar's Aron Szapiro says.