Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL, Affiliates Add 4 Reps From Rivals: Recruiting Roundup
By Janet LevauxPlus, Steward Partners — associated with Raymond James — adds former manager at UBS and Morgan Stanley.
March 25, 2020
How 'Being Bold' Propelled Advisor's CareerBayou-born Dawn Dupre overcame many obstacles to become a top wealth manager in the City of Brotherly Love.
March 24, 2020
SEC Enforcement Chiefs Warn Against Insider Trading"In these dynamic circumstances, corporate insiders are regularly learning new material nonpublic information," the co-chiefs said.
March 24, 2020
Edward Jones Restricts In-Person Client MeetingsThe firm, though, is keeping its branches open.
March 23, 2020
Raymond James Stops In-Person Recruiting, Puts Some Advisor Moves on HoldThe news comes about 10 days after the firm decided to limit visits to the home office and branches.
March 23, 2020
FINRA Extends Exam Window, Annual Report FilingFINRA recently released a FAQ in light of the coronavirus pandemic.
March 19, 2020
NASAA Opposes SEC Plan to Expand Accredited Investor DefinitionState securities regulators say the new definition would fail to protect investors.
March 19, 2020
LPL Adds Service Hours for RepsSome 70% of employees are working from home, and the IBD has canceled or pushed back events set for March and April.