Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Ameriprise Sues Ex-Broker Over $748K FINRA Arb Award
By Jeff BermanThe rep was terminated by the firm in 2018 has yet to repay his promissory notes, the firm says in the lawsuit.
July 14, 2020
Senator Calls for Hearing on New DOL Fiduciary RuleLabor "should consider a tripartite hearing that would also include the SEC," Sen. Patty Murray said.
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.