Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC Nominee Crenshaw Details Reg BI Compliance Priorities
By Melanie WaddellFirms need to be held accountable when they fail to comply, Crenshaw said at her nomination hearing.
July 20, 2020
Ex-Next Financial Rep Charged Over Risky Client InvestmentsThe former broker "used dishonest sales practices" to sell nontraded REITs and other alternative investments, state regulators say.
July 20, 2020
Invest in Others Awards Finalists AnnouncedAwards will be presented digitally, one a day, from Sept. 21 to 25.
July 17, 2020
Ex-Wells Fargo FiNet Rep Suspended for Altering Docs, Using Private EmailThe then-advisor had clients sign incomplete documents so he could "fill in missing information," FINRA says.
July 17, 2020
$680M Team Jumps From Morgan Stanley to StifelThe news follows Stifel's efforts to recruit teams from Merrill and Wells Fargo across the U.S.
July 17, 2020
Why Compliance Officers Have Even More to Worry AboutOne case has gone to an appeals court to get relief from FINRA and SEC decisions against a broker-dealer CCO.
July 16, 2020
FINRA May Modify Rulebook, Supervision in Light of VirusFINRA is considering the regulatory implications of a wave of brokers continuing remote work after the pandemic.
July 16, 2020
Ameriprise Sues Ex-Broker Over $748K FINRA Arb AwardThe rep was terminated by the firm in 2018 has yet to repay his promissory notes, the firm says in the lawsuit.