Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Dimon Says He's 'Disgusted by Racism' in Wake of New York Times Exposé
By Janet LevauxThe news comes about a year after the bank reached a $24 million settlement brought by black employees.
December 12, 2019
FINRA Names Consolidated Exam TeamFINRA's three exam functions have been consolidated into a single, unified program.
December 12, 2019
Sen. Warren: DOL Fiduciary Rule That Copies Reg BI Is a 'Costly Mistake'Warren warned Labor Secretary Eugene Scalia not to propose a weak rule.
December 12, 2019
Stifel Financial Picks Up 5 Wirehouse RepsIts latest recruits include a Merrill trio in Kentucky with nearly $100 million in client assets.
December 12, 2019
Securities America Nabs $565M Ameriprise Team: Recruiting RoundupMeanwhile, LPL Financial, Cetera and Raymond James bring on advisors from rivals.
December 11, 2019
Ex-NFL, Ohio State Players Tackle New Advisor RolesOne former football player has gone independent after time with Merrill, while another is joining the firm that manages his money.
December 09, 2019
Another Broker Impersonated Clients … 6 of Them. FINRA Wasn't Pleased.FINRA suspended and fined the former Investacorp rep after he impersonated customers in calls to Nationwide.
December 09, 2019
Troubled Atlanta BD Shuts DownThe news comes four months after it had "substantial losses" from unauthorized bond trades.