Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Stifel Adds 3 Merrill Advisors
By Jeff BermanTwo advisors moved to Stifel in Dallas, while the other did so in the St. Louis area; the three had combined assets of $243 million.
November 02, 2020
SEC Enforcement Actions Down 17% in 2020But financial remedies ordered set a new high, according to the agency's enforcement chief.
November 02, 2020
LPL Grabs TD Ameritrade Exec to Lead TradingBen Welch comes on board less than a month after Charles Schwab wrapped up its $22 billion purchase of the former rival.
November 02, 2020
Kestra Adds $2.2B in Assets Through Recruiting in Q3Of the 22 advisors who joined, eight came from Merrill, Morgan Stanley and Wells Fargo; two are women.
October 30, 2020
Should Compliance Officers Be Held Personally Liable? SEC's Peirce Weighs InToo much liability could discourage talented people from working in compliance, the SEC commissioner says.
October 29, 2020
13 Best & Worst Broker-Dealers: Q3 Earnings, 2020Though the pandemic continues to impact the financial results of BDs, COVID-19's negative influence wasn't as serious as in the prior period.
October 29, 2020
SEC Doles Out New Whistleblower Award, as Advocates Fret Over Rule ChangesOverall, the program awarded more than $175 million to 39 whistleblowers in the fiscal year that ended Sept. 30.
October 29, 2020
New Dalbar Offering Aimed at Helping Advisors Improve Investor BehaviorQAIB Advisor Studio is available for $250 a year.