Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Shares Details on Virtual Focus Conference
By Janet LevauxThe annual conference for its indie advisors had been set to take place this month in Chicago.
July 14, 2020
Redtail CEO Joins Riskalyze BoardThe news raises questions about Riskalyze's growth plans and comes soon after the Orion-Brinker tie-up.
July 13, 2020
SEC Issues Ransomware AlertAttempts to penetrate financial institution networks through phishing and ransomware are on the rise.
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.