Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Vanguard Warns Clients to Hang Up and Log In, Or Else
By Dinah Wisenberg BrinThe firm is cracking down on heavy users of phone support. Is that fair?
June 27, 2024
Ameriprise, LPL Battle in Court Over Father-Son Advisor Duo Who Switched FirmsThe advisors took confidential material "in the dark of night" before leaving for LPL, Ameriprise says.
June 26, 2024
Expect SEC Reg BI Actions to Heat Up: Law FirmDual registrants "may be particularly compelling targets" for the regulator, Gibson Dunn attorneys say.
June 26, 2024
LPL Rep Suspended for Trading in Deceased Client's AccountThe advisor falsely stated that he spoke with the client about the trade before their death, FINRA said.
June 24, 2024
Ex-LPL Rep Suspended for Allegedly Sending Client Data to WifeThe broker then forwarded the data to a contact at LPL, his prospective employer at the time, FINRA says.
June 24, 2024
Eye-Watering Texting Fines Need Transparency: SEC RoundupThe American Securities Association's CEO talks about why the group is suing the SEC.
June 18, 2024
Liz Ann Sonders: Stocks Look Weaker Under the SurfaceA split has formed between headline market and economic numbers and the reality on the ground, the strategist tells ThinkAdvisor.
June 10, 2024
JPMorgan Warns of Stock Market Shock From CPI, FedInvestors are preparing for what could be the biggest stock move since March 2023, says a Citigroup trading head.