Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
JPMorgan to Pay $135M for Mishandling ADRs
By Janet LevauxThe improper activities took place from late 2011 to early 2015 and produced $71 million in revenue for the bank.
December 26, 2018
NHL Recognizes American Portfolios ExecThe group names CEO Lon Dolber a "Hometown Hero" for his support of the Center for Discovery and World T.E.A.M., which brings adaptive and able-bodied athletes together for inclusive athletic events.
December 24, 2018
Expect Big Changes to Retirement, Fiduciary Rules in 2019Other regulatory priorities are expected to include cybersecurity, new advertising and cash solicitation rules by the SEC.
December 21, 2018
How AI Will Make or Break the Indie Advisory IndustryWe need to overcome the current trend of using AI as a tool for clients, and instead, develop it more for advisors.
December 21, 2018
How Indie Advisors Can Get More Love (and Service) From Their FirmsIn weaving your way through broker-dealer procedures, there are some specific ways to obtain as much attention and assistance as you need.
December 20, 2018
SEC's 6 Compliance Exam Priorities for RIAs in 2019The SEC "will maintain its focus on critical market infrastructure and Main Street investors" in the year ahead, says Chairman Clayton.
December 20, 2018
Merrill to Pay $6M for Advisors Who Herded IPO Shares to Friends, FamilyAt least 120 financial advisors were involved in prohibited IPO sales tied to Facebook, Twitter and other firms from 2010 to 2018.
December 20, 2018
A Fresh Way to Overcome Growing PainsIn 2019, taking a different perspective on change might be your advisory firm's ticket to success.