Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Is Your Firm's Legacy Technology a Ticking Bomb?
By Dan SkilesAdvisors can avoid the headaches of being forced to replace old systems on the fly by taking these pre-emptive actions.
March 25, 2019
Steward Adds Merrill Team in New HampshireThe partnership, which is associated with Raymond James, announces its latest recruiting news just a week after it opened a branch in Dallas.
March 25, 2019
FINRA Developing 'Credit for Cooperation' Guidance; SEC Aims to 'Bring Cases Faster'At what point do broker-dealers who cooperate with FINRA deserve a reduced sanction? The regulator plans to clarify.
March 22, 2019
Sen. Warren Presses FINRA on Broker Expungement Rule RevampStudies show broker expungements "are often associated with broker misconduct" and recidivism, Warren says.
March 21, 2019
FINRA's 2019 Budget Points to 'Day of Reckoning' Ahead: Ex-Enforcement ChiefFINRA says it could draw on its reserves to make up for a projected revenue shortfall.
March 21, 2019
Morgan Stanley Loses Advisors to Raymond James, RIA: Recruiting RoundupMeanwhile, Baird adds an advisor from Wells Fargo, and Ameriprise picks up a former LPL Financial affiliated rep.
March 20, 2019
New Law Firm 'Steeped' in SEC, FINRA Cases May Take on College Scam ClientsWhite-collar defense attorney Marc Mukasey announced the official launch of a boutique law firm, Mukasey Frenchman & Sklaroff LLP
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.