Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Senator Calls for Hearing on New DOL Fiduciary Rule
By Melanie WaddellLabor "should consider a tripartite hearing that would also include the SEC," Sen. Patty Murray said.
July 10, 2020
SEC Shakes Off Ex-LPL Rep Over Taylor Swift ScamThe former broker was barred for falsely claiming investor funds would be used to fund a project for the pop singer, regulators said.
July 10, 2020
New Risk Tool Launched: Tech RoundupAlso, Twenty Over Ten updated its Lead Pilot tool to help advisory businesses improve their inbound marketing efforts.
July 09, 2020
Waddell & Reed Adds Advisors With $701MThree of the nine new advisors come from Edward Jones, while the rest join from Cetera and other firms.
July 09, 2020
Advisor Group Rolls Out Updated UMA PlatformThe news comes about five months after the group wrapped up its purchase of Ladenburg Thalmann's broker-dealers.
July 08, 2020
Short DOL Fiduciary Rule Comment Period Faces CriticismThe 30-day comment period is half the typical length.
July 08, 2020
Securities America's Nagengast Renominated to FINRA BoardNagengast, president and CEO of Securities America, has been nominated to serve a second term.
July 07, 2020
Best & Worst BDs for Advisors: J.D. Power — 2020The latest satisfaction survey of more than 3,200 advisors is based on a new set of factors, including professional development and technology.