Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Bad Broker Rule Would Hit Less Than 2% of Firms
By Melanie WaddellThe new rule proposal identifies firms "that have a cluster of brokers with a high level of misconduct," FINRA's Cook said.
May 14, 2019
FINRA Aims to Simplify Its Digital Interactions With FirmsThe transformation is to be implemented in stages through 2022 and is focused on six areas.
May 13, 2019
Wealth Firm Ben Edwards Launches RIAEdwards Wealth Management gets the puck moving in St. Louis with the addition of two former NHL players turned advisors.
May 10, 2019
How This Mother-Daughter Financial Planning Duo Found SuccessSally and Jeanette Ng work together as financial planners affiliated with The Wealth Consulting Group and supported by LPL.
May 10, 2019
Advisor Group CEO Opens Up About Reverence Deal, Brown's DeparturePrice talked with ThinkAdvisor about the sale and explained why Valerie Brown will leave Advisor Group.
May 09, 2019
FINRA Reminds BDs of Their Anti-Money Laundering DutiesIn Regulatory Notice 19-18, FINRA provides examples of money laundering red flags.
May 09, 2019
Reverence Capital to Buy Advisor GroupAs part of the deal, Jamie Price will stay on as CEO. Executive Chair Valerie Brown, though, will give up her post.
May 09, 2019
Cetera Launches Rescue Plan for Exiting AdvisorsThe new program aims to help advisors protect the value of their businesses during an ownership transition.