Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC Charges Ex-LPL Rep With Stealing $300K From Retired Client
By Jeff BermanThe rep defrauded a 73-year-old client with whom he shared a bank account, the SEC says.
September 02, 2020
Hearsay CEO Clara Shih Steps AsideThe news comes one month after Salesforce Ventures made a strategic investment; Shih will become executive chairperson.
September 01, 2020
Jean Hynes Named Next Wellington CEOThe head of the Vanguard Health Care Fund will continue leading the portfolio after taking the executive reins from Brendan Swords next summer.
September 01, 2020
Creative Planning Strikes Its Biggest RIA Deal EverIn its eighth acquisition of the year, the Overland Park, Kansas-based firm more than doubles its asset footprint in Atlanta.
August 31, 2020
$1.2B UBS Team Jumps to Raymond JamesThree ex-wirehouse advisors come on board in Kansas City at a new location for the firm's employee channel.
August 28, 2020
LPL Adds YCharts to Vendor ProgramYCharts' investment research and related tools are now used by more than 5,000 RIAs.
August 28, 2020
DOL Fiduciary Rule Hearings to Be Held on Quick Timeline With Limited TestimonyThere are several notable differences from when the Obama Labor Department held hearings on the 2016 fiduciary rule.
August 27, 2020
Hightower, LaSalle Add New Groups: Recruiting RoundupMeanwhile, Advisor Group shares plans for its national conference and one of its broker-dealers brings on a team from Ameriprise.