Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Securities America's CEO Re-Elected to FINRA Board
By Melanie WaddellJim Nagengast first joined the board in 2018, when he was elected by large firms via a special election.
August 07, 2020
FINRA Suspends Ex-Merrill Rep Who Hid Felony IndictmentThe former broker also was sanctioned by the regulator for alleged unauthorized trading in client accounts.
August 06, 2020
DOL Denies Request to Extend Comment Period, Hold Hearing on Fiduciary RuleSen. Patty Murray says hearings on the proposals are required by law.
August 06, 2020
Ex-LPL Rep Suspended for Falsifying FormsFormer broker electronically signed a colleague's name repeatedly instead of his own, FINRA claims.
August 06, 2020
DOL Should Scrap Fiduciary Rule Plan: RoperConsumer Federation of America says plan allows for conflicted advice and gives most rollover recommendations a "regulatory free pass."
August 05, 2020
5 Paths to True Advisor IndependenceThinking about making a change? Your timing is right, but know what you want first.
August 05, 2020
FINRA: Cetera Rep 'Willfully Failed' to Disclose Tax LiensThe firm's broker didn't amend his Form U4 to disclose several liens, then made false claims to cover them up, FINRA says.
August 05, 2020
Coming Soon at Hightower: More Strategic Investments in RIAsHere's what the firm looks for in RIAs, CEO Bob Oros tells Pershing CEO Ben Harrison in a wide-ranging conversation.