Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
What Will Become of Us?
By Mark TibergienHow our business will change in the coming decade. And will we change with it?
July 25, 2019
Star Broker Tells of Her Strange Breakup With Edward JonesIn an interview with ThinkAdvisor, Melanie Housden claims she received rough treatment from the brokerage after her exit but fought back.
July 25, 2019
Wealth Units at Raymond James, Ameriprise & UBS Boost Profits: Q2 EarningsOnly one of the three firms, though, reported rising advisor headcount from both the prior year and the earlier quarter.
July 25, 2019
LPL Nabs $600M Reps From Kestra Affliates: Recruiting RoundupMeanwhile, Stifel adds advisors from Ameriprise, Morgan Stanley and Wells Fargo with $307 million of client assets.
July 24, 2019
Industry Groups Push Indie Candidate for FINRA BoardFSI and the Bank Insurance & Securities Association are both supporting ProEquities President and CEO Chris Flint.
July 23, 2019
BDs Should Stop Using the A-Word in Light of Reg BI: AttorneysReg BI prohibits a broker-dealer and its reps from calling themselves "adviser" or "advisor" if the BD is not an RIA.
July 22, 2019
Merrill Could Pay $82M for Broker's Excessive TradingThe firm will pay $40 million in one case against the broker, and another is pending.
July 22, 2019
Start Preparing Now for the End of Libor-Linked Loans, SecuritiesThat's what New York Fed President John Williams, Fannie Mae and Freddie Mac officials and Wall Street executives recommended at a recent SIFMA briefing.