Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
10 Top Trends in Wealth Management for 2020: Aite Group
By Bernice NapachLast year brought several major developments in the industry. How will those developments play out?
January 09, 2020
Fidelity Launches First Full-Service HSA for AdvisorsFidelity's HSA for advisors and other financial intermediaries is integrated with Wealthscape, its advisor technology platform.
January 09, 2020
LPL Recruits Black Advisor Team From Northwestern MutualMeanwhile, RIA Mercer Global Advisors is buying CCP Inc., a Chicago-based group with $140 million in client assets.
January 09, 2020
Beware California's New Data Privacy LawIt may affect you if you have clients there, and other states may follow suit.
January 08, 2020
National Planning Corp. Owes Client $2.6MThe client accused a broker of investing her assets in fraudulent and unsuitable vehicles to generate commissions.
January 08, 2020
T3 Events Now Have Code of ConductThe news from Technology Tools for Today comes three months after Ken Fisher was called out for lewd comments at an event.
January 08, 2020
Defunct BD Sues FINRABlackBook Capital and its former president accuse the regulator of bias and libel.
January 07, 2020
Dodd and Frank Say SEC's Reg BI Violates LawThey were among a group of current and former Democratic lawmakers who filed a brief saying the best-interest rule "cannot stand."