Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Best & Worst Firms for Self-Directed Investors: J.D. Power, 2024
By Michael S. FischerSatisfaction for DIY investors is flat this year, but it improved for those seeking guidance, which shows the power of personalization.
April 03, 2024
Cambridge Rolls Out 'Personal CFO' Service for Wealthy ClientsThe new service includes cash-flow management, tax planning, wealth protection and more for HNW and UHNW investors.
April 01, 2024
Raymond James Adds $1B RBC Wealth GroupThe three veteran advisors work in the greater Phoenix area.
March 29, 2024
FINRA Hits BD With $250K Fine Over Emails, IMsH2C Securities failed to preserve and review over 1.25 million business-related electronic communications on four platforms.
March 27, 2024
New SEC Risk Alert Warns of T+1 TransitionExaminers will review whether and how RIAs have evaluated the impact of the settlement cycle change on their businesses.
March 26, 2024
Stifel to Pay $2.3M Over Sales of Complex ETFsThe reps' 'misuse' of the nontraditional funds caused clients to lose $1.3 million, FINRA says.
March 26, 2024
Here's How Much 9 Investment Firm CEOs Were Paid in 2023We looked at CEO compensation at Wells Fargo, Morgan Stanley, JPMorgan and others.
March 25, 2024
Bank of America Overhauls Mobile AppThe updated app provides a new platform that consolidates five BofA apps, including banking and investing.