Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Royal Alliance Fined Over Reps' Theft of $3.8M
By Janet LevauxDespite red flags, two now-barred advisors took the funds via wire transfers and checks to shell companies, FINRA says.
January 15, 2020
J.P. Morgan Securities to Pay SEC $1.5M for Share Class ViolationsThe brokerage firm failed to provide retail retirement account and charity customers with sales charge waivers and lower-fee share classes.
January 15, 2020
FINRA Seeks Comments on Rule Requiring Complaints, Arb Claim ReportsFINRA is seeking comments on which data BDs should be required to report.
January 15, 2020
How to Bridge the Boomer-Millennial GapThe leaders of Johndrow Wealth Management share their secrets of teamwork and business success.
January 14, 2020
For Wealth Managers, M&As Surge to New Record in 2019The same forces that drove M&A activity in 2019 are expected to prevail this year, according to Fidelity.
January 13, 2020
SEC's Top 5 Exam Priorities in 2020Here's what SEC examiners are focusing on this year.
January 13, 2020
Next Job for Seahawks' Marshawn Lynch: Retirement Advisor?Lynch's advisor at UBS said, "He understands the transition [to retirement] better than anyone in the NFL, since he's done it twice."
January 13, 2020
SEC Releases FAQ on Reg BI ComplianceThe FAQ states that Form CRS will not satisfy a broker's Regulation Best Interest disclosure obligations and sets out which products are covered by the rule.