Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Edward Jones Sued by Ex-Rep Over Sexual Harassment
By Jeff BermanA former advisor at the firm says a manager pressured her into "into a forced sexual encounter," according to court documents.
April 12, 2021
Ameriprise to Buy BMO UnitThe deal is expected to give Ameriprise an additional $124 billion of AUM.
April 09, 2021
Credit Suisse's New Chairman to Weigh Damage-Control Options After Archegos BlowupThe Swiss bank may merge with UBS or be sold to another firm in the wake of $4.7 billion in losses tied to the fiasco.
April 07, 2021
AdvicePay Adds Financial Plan Compliance ToolThe new tool centralizes compliance reviews of financial plan deliverables to streamline the process, AdvicePay says.
April 01, 2021
Carson Group, BlackRock Help Launch Diversity-Focused EffortFinServ Foundation, led by Jamie Hopkins, is focused on the support of mentoring, leadership and internship programs for college students.
April 01, 2021
Raymond James Nabs 11 Reps From Wirehouses, Other RivalsAdvisors managing over $1.2 billion have joined affiliate Crux Wealth Advisors and the firm's Alex. Brown division.
March 31, 2021
Schwab Sues Ex-Client Who Won't Return $1.2M Sent by MistakeThe firm alleges that a former client refuses to return money "inadvertently transferred" to her Fidelity account due to a software error.
March 31, 2021
12 States With the Highest Taxes in AmericaWalletHub looked at income, property, sales and excise taxes in each state.