Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Advisor Allegedly Fast With $2M of Client Funds Makes SEC Furious
By Ginger SzalaMark J. Boucher allegedly created false accounts and said that buying a car with a client's money was "a simple mistake."
August 24, 2020
Advisors' Tech Use: There's No Going BackLPL Chief Investment Officer Burt White and Managing Director Matt Enyedi share why advisors' technology use is set to remain as it is now.
August 24, 2020
Shed the Shame: Taking a PPP Loan Is Not What You ThinkAs firms grapple with this dilemma, it's important to note that PPP is not a bailout.
August 24, 2020
SEC to Take Up Long-Awaited Accredited Investor Definition ChangesAnna Pinedo, partner with Mayer Brown, expects one change will be that various FINRA broker-dealer licenses will be added regardless of net income/net worth.
August 21, 2020
In Reversal, DOL Will Hold Hearing on Fiduciary RuleThe department, which previously denied a request for a hearing, now has one planned for Sept. 3.
August 21, 2020
LPL Execs Urge Advisors to Charge for PlanningBy charging for planning, you can build and grow relationships and revenue, Andy Kalbaugh, a managing director at the BD, says.
August 20, 2020
FINRA Warns of Fake Broker WebsitesThe sites use reps' names and other information and may appear to be their personal sites.
August 20, 2020
LPL's Burt White: Do More Than Apply 'Digital Lipstick'The BD executive gave details on coming updates and new tools for managing meetings, electronic signatures and more.