Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
PPP Borrowers Should Act Fast, Expect More Scrutiny: AICPA
By Melanie Waddell"The SBA is doing more vetting for potential fraud," said Erik Asgeirsson, president and CEO of CPA.com.
January 11, 2021
$435M Team Ditches Merrill for Sanctuary WealthThe move comes as Merrill is closing its offices in the Ohio city where the team is based, Sanctuary says.
January 08, 2021
Advisor Group, Cetera Face Heavy Debt, Big RisksCredit agencies say these firms' debt loads weigh on their ratings. But the firms say it's a strategy they can manage.
January 08, 2021
Janney Drawing Steady Stream of Wirehouse RecruitsThe firm recruited 43 advisors and nearly $4 billion in assets to its Private Client Group in 2020.
January 06, 2021
Under Trump Order, SEC Warns of Investments in Chinese Military CompaniesBeginning on Jan. 11, U.S. persons will be prohibited from transacting in certain securities and derivatives of these companies.
January 05, 2021
How to Help Clients Fulfill Insurtech Resolutions in the New YearAn Aflac executive makes the case that brokers should expect insurers to offer customers a good digital experience.
January 05, 2021
Silicon Valley Bank Buys Boston Private for $900MThe deal adds $16.3 billion in wealth management and private banking assets to the Northern California firm.
January 04, 2021
SEC's Investor Advocate Decries Deregulatory Agenda Under ClaytonEfforts to "modernize" or "streamline" rules hurt investors, Investor Advocate Rick Fleming says in his year-end report to Congress.