Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Law Firm Bressler, Amery & Ross Launches RIA Practice Group
By Melanie WaddellThe firm will serve the "growing needs" of federally registered and state-registered advisors and U.S.-regulated advisors abroad.
July 28, 2020
Why Big Endowments and Foundations Beat Small Ones in Q1BNY Mellon found that while smaller endowments and foundations did better in 2019, performance lagged in 2020. Here's why.
July 27, 2020
SEC Slams Ex-Broker for Misappropriating $1.15M of Seniors' FundsThe former American Portfolios Financial Services rep deposited clients' money into his own account rather than invest it, the regulator said.
July 24, 2020
$280M Team Exits UBS to Join Raymond JamesThe bilingual group, originally from Venezuela, will join Alex. Brown's Miami office.
July 23, 2020
$445M Wells Fargo Reps Move to StifelThe four advisors join the firm in South Dakota and Washington.
July 21, 2020
Kestra Taps Stephen Langlois as PresidentThe eMoney, Fidelity and LPL veteran will lead broker-dealer and RIA operations, as well as innovation for the firm's platform.
July 21, 2020
SEC Nominee Crenshaw Details Reg BI Compliance PrioritiesFirms need to be held accountable when they fail to comply, Crenshaw said at her nomination hearing.
July 20, 2020
Pershing Taps Former Goldman Sachs Exec as COOEmily Schlosser replaces Jim Crowley as compliance chief a year after the former CCO was tapped to lead the BNY Mellon business.