Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James to Buy Investment Bank With Wealth, Asset Focus
By Janet LevauxThe bank, Silver Lane Advisors, will give Raymond James nearly 50 bankers working in the financial services space, including RIA mergers.
January 22, 2019
UBS Q4 Results Miss Mark, Despite Boost in Wealth UnitThe advisors in the Americas average yearly fees and commissions rose 8% from 2017.
January 22, 2019
Galvin Says Royal Alliance Failed to Supervise AgentThe Massachusetts' chief securities regulator said Royal Alliance failed to supervise an unsuitable investment made by one of the firm's agents.
January 22, 2019
Scottrade Wants Independent Officer in Galvin Fiduciary CaseThe case is currently being heard by a lawyer who was appointed by the Massachusetts Securities Division.
January 22, 2019
BlackRock's Data Leak Hits 20,000 Advisors, Most With LPLThe ETF provider says the accidental disclosures did not include any details about investor clients and "no sensitive personal or financial information" about advisors.
January 22, 2019
FINRA Releases 2019 Exam PrioritiesThe annual letter highlights ongoing issues like cybersecurity along with some new areas of focus.
January 18, 2019
Broker Barred for Concealing Commissions From Native American Tribe: EnforcementMeanwhile, a firm principal was barred for falsely claiming the firm had enough assets to register with the SEC.
January 17, 2019
'Visionary' Bogle Gave SEC a Warning About Reg BI"Ideas are a dime a dozen," Bogle told SEC Chairman Jay Clayton. "Implementation is everything."