Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA's 2019 Budget Points to 'Day of Reckoning' Ahead: Ex-Enforcement Chief
By Melanie WaddellFINRA says it could draw on its reserves to make up for a projected revenue shortfall.
March 19, 2019
Raymond James CFO to RetireJeff Julien has been with the independent broker-dealer for 32 years and will remain on the board of Raymond James bank.
March 19, 2019
House Panel to Debate Bill to Require Investor Testing by SECThe bill would require usability testing on the SEC's new disclosure forms before Reg BI is finalized.
March 19, 2019
HD Vest-1st Global Deal: 'The Consolidation Continues'Michael Kitces called the deal "big news, but not at all surprising."
March 19, 2019
FINRA Plans New Rules for Bad BrokersHow to deal with firms and brokers with a lot of black marks on their records has occupied a lot of FINRA board and policy discussions.
March 19, 2019
Former NBA Star Chuck Person Pleads Guilty in NCAA Bribery SchemePerson admitted taking bribes to steer college players to a certain financial advisor after they had turned professional.
March 19, 2019
HD Vest Parent to Acquire 1st GlobalThe deal unites tax-minded advisors and could create an IBD with 4,500 reps and $60 billion in assets.
March 18, 2019
Kitces: Is Technology Really Helping Advisors?A survey by Michael Kitces breaks down the advisor work week and uncovers some interesting results.