Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Retail Channels Gobbling Up Bigger Share of Assets
By Ginger SzalaCerulli credits IRA rollovers for an ongoing migration of assets from institutional to retail channels.
November 01, 2018
Woodbridge Group Ex-CEO Fined $120M for Ponzi SchemeRobert Shapiro agreed to pay the funds to the U.S. Securities and Exchange Commission to settle allegations he defrauded investors in a $1.2 billion real-estate investment scam.
November 01, 2018
Stifel Adds 6 Reps From Merrill, UBS and Other RivalsThe advisors are expected to bring over about $660 million starting this quarter.
November 01, 2018
Cetera Launches My 401(k) AssistantThe tool allows Cetera advisors to "in-source" some critical retirement plan-related functions.
November 01, 2018
LPL Picks Up $800M Seattle Group From Rival: Recruiting RoundupMeanwhile, Raymond James continues to add reps from Wells Fargo, and Ameriprise recruits a team from FSC.
November 01, 2018
SEC's Clayton: Advice Standards Package Done by September, 'if Not Sooner'Clayton tells ThinkAdvisor that changes are also expected to Reg BI and Form CRS.
October 30, 2018
FINRA Fines LPL $2.75M Over Complaint Reporting, AML IssuesFINRA says the independent broker-dealer took too narrow an interpretation of which customer complaints needed to be reported.
October 29, 2018
Triad Advisors Names Michael Gatti VP of Business DevelopmentIn this role, Gatti will be responsible for identifying, qualifying and onboarding independent advisors.