Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
$1.1B Merrill Team Jumps to JPMorgan
By Janet LevauxThe four-member Campbell Group made the move in San Francisco and is led by Gwen Campbell.
October 20, 2020
RBC Recruits $1.2B All-Female JPMorgan TeamThe New York-based group includes three advisors, all of whom have been in the business for more than 20 years.
October 20, 2020
Commonwealth Adds Its First Chief Diversity and Inclusion OfficerScarlett Abraham Clarke joins the firm from Bright Horizons.
October 19, 2020
SEC Chief 'Cautiously Satisfied' With Reg BI but Seeing Some Troubling TrendsThe SEC chairman shared his views during an interview with SIFMA CEO Ken Bentsen at the association's virtual event.
October 19, 2020
FINRA Files to Boost Arbitrators' PayLawyers for investors support the pay hike but "we do not want arbitrators to be doing this as their living," says PIABA's Sam Edwards.
October 19, 2020
LPL Financial Nabs $1B Cetera TeamThe news comes less than two weeks after $14 billion BMO Harris Financial Advisors said it was moving onto the IBD's platform.
October 16, 2020
FINRA Bars Ex-Ameriprise Rep Who Took $42,000 From a ClientThe broker had been terminated after allegedly converting the elderly client's funds for his own use.
October 15, 2020
CFP Board Offers Remote Testing for Next ExamOf the 2,154 candidates who took the most recent CFP test, just 6% did so remotely.