Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Nabs $1B Securities America Team
By Janet LevauxThe news comes one week after SagePoint, another Advisor Group broker-dealer, recruited a $503 million group from LPL Financial.
November 20, 2020
Commonwealth Expanding Menu of VIP Options in 2021Commonwealth Connect and Brand Studio are two areas of focus for the firm in 2021 and beyond.
November 20, 2020
Morgan Stanley Fires Brokers Over Legacy Account PaymentsThe firings involve a program allowing departing brokers to split fees and commissions with the reps who inherit their accounts.
November 19, 2020
SEC: Compliance Officers Need More AuthorityA new Risk Alert flags numerous areas where advisors are falling short on the Compliance Rule.
November 19, 2020
Ex-Broker Charged With Murdering a Client in TexasPolice said they found evidence that Keith Ashley killed the client "in an attempt to gain control of his finances" and was running a Ponzi scheme.
November 19, 2020
4 Steps for Turning Ideas Into ActionUnless you put your thoughts into practice and see how well they actually work, they can't benefit your business.
November 18, 2020
8 'Must Know' Advisor TrendsVIPs weigh in on the industry's outlook for 2021 and specific issues like robo-advisors, hiring and dealmaking.
November 18, 2020
FINRA Pushes Ahead With More Bad-Broker RulesOne of the rules would place new obligations on BDs whose records raise investor-protection concerns.