Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
2 CEOs Warn of 'Retirement Tsunami' in Advisory Industry
By Bernice NapachRaymond James' Tash Elwyn and Dynasty's Shirl Penney weigh in on the future of wealth management.
October 11, 2019
States' Lawsuit Against SEC Reg BI Dismissed by Lower CourtThe court wants the matter to be taken up by the appeals court with original jurisdiction over SEC rules.
October 11, 2019
FINRA's Top 10 Biggest BD Arbitration Awards in 2019These are the biggest awards in broker-versus-firm and firm-versus-firm cases.
October 10, 2019
Tiburon Bars Fisher From Summits After Lewd CommentsThe development comes a day after an advisor posted a video criticizing Fisher for his "absolutely horrifying" remarks.
October 10, 2019
6 Wells Fargo Reps Move to LPL, Woodbury: Recruiting RoundupA group of five employee advisors with $330 million and an independent advisor with $115 million make the move.
October 09, 2019
Zero Commissions a 'Huge Deal' for Advisors, BDs: HenschenBroker-dealer recruiter Jon Henschen breaks down "the ripple effects" of the big brokerages' elimination of most trading commissions.
October 08, 2019
FINRA Updates Reg BI Webpage With Compliance ChecklistThe checklist outlines major requirements and notes differences between FINRA and rules and SEC's Reg BI and Form CRS.
October 07, 2019
$1B Team Joins LPL From FSCThe 10-advisor firm comes on board from one of Advisor Group's broker-dealers, as does a second team with $210 million.