Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
How a Consultant Turns Her Own Career Into Client Growth
By Ginger SzalaThanks to time spent at LPL and other firms, Echelon Partners' Carolyn Armitage can take leaders to the next level.
May 04, 2020
LPL Nabs $3B Team From Securities AmericaJFC Financial Services has 17 employees, a group of in-house financial professionals and some 100 affiliated financial advisors.
May 04, 2020
July CFP Exam Pushed Back to SeptemberThe certified financial planner exams set for July now will take place in the fall.
May 01, 2020
IRS Says No Double Tax Benefits From PPP LoansNew guidance from the IRS explains tax consequences of PPP loans that are forgiven.
May 01, 2020
RBC Grabs $472M Merrill TeamThe move comes as part of the wealth firm's opening of a new office in northern New Jersey.
May 01, 2020
SEC Forms COVID-19 Task Force, Issues More Regulatory ReliefThe SEC issued orders to set up a phased CAT reporting timeline for BDs and issued a plan to modernize fund valuation practices.
May 01, 2020
FINRA COVID-19 Fraud Task Force Has Referred 50 Potential Scams to SECFINRA has hired Greg Ruppert, formerly of Schwab, to spearhead its COVID-19 fraud task force.
May 01, 2020
FINRA Slams Ex-Ameriprise Rep Who Misappropriated Client's FundsThe broker was terminated after allegedly converting more than $42,000 of an elderly client's funds for his own use.