Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Steward Adds $1.2B Team From Advisor Group
By Janet LevauxThe St. Louis-based wealth team also is the first to join Steward via its 1099 affiliation model.
June 18, 2020
FINRA Moves Ahead on New Exam Cheating RulesFINRA is also overhauling its enforcement technology platform.
June 15, 2020
SEC Chief Urges Caution on Rollovers Under Reg BIIn particular, advisors must be mindful of relaxed withdrawal rules in the CARES Act, Chairman Jay Clayton says.
June 15, 2020
FINRA Enables Reporting of Reg BI-Related Customer ComplaintsStarting July 18, firms will be able to use two new "problem codes" to report customer complaint information.
June 15, 2020
Raymond James Fires Employee Over BLM ClashHe and his wife were videotaped confronting a man, then calling the police, over a Black Lives Matter sign in San Francisco.
June 12, 2020
Barred Broker Took Money From Veteran: SECStarting in 2015, Frederick Stow sold securities and moved funds from the account 74 times, the SEC says.
June 12, 2020
Advisor Group's SagePoint to Pay $1.6M Over UIT RolloversThe SagePoint news comes two weeks after Stifel agreed to pay $3.6 million for similar violations.
June 11, 2020
Why Community Connections Really Matter NowCommunities driven by values and beliefs can give advisors the support they need to elevate both personal and professional pursuits.