Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Reminds BDs of Municipal Client Duties
By Melanie WaddellFINRA exams have found BDs engaged in investment-related activities with municipal clients without registering as muni advisors.
August 14, 2019
First-Half Advisor M&A Surge Continues in July: FidelitySeven RIA deals took place in July, including the sale of Wealth Enhancement Group, with nearly $12 billion in AUM.
August 13, 2019
FPA Rolls Out Group Health Insurance for Members in Most StatesThe plan is generally available for advisors with two to 50 employees.
August 12, 2019
First Republic Adds $3.6M UBS TeamThe four veteran advisors come on board in New Jersey.
August 09, 2019
Cetera Raises $210K for YouthOther Caring Cetera donations have supported Girls Inc., as well as the SIFMA stock market games in Los Angeles.
August 08, 2019
Ex-Woodbridge Group CEO Pleads Guilty in $1.3B Ponzi SchemeRobert Shapiro faces 25 years in prison for fraud that affected more than 7,000 investors.
August 08, 2019
FINRA Launches Reg BI Webpage, Plans WorkshopsThe BD regulator is also urging broker-dealers to submit questions to the SEC about Reg BI and Form CRS.
August 08, 2019
Stifel, LPL Nab Wirehouse Reps: Recruiting RoundupMeanwhile, Carson Group welcomes an eight-member team in Northern California.