Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Stifel Grabs 11 Reps From Wells Fargo, Other Rivals: Recruiting Roundup
By Janet LevauxThe reps have about $850 million in combined assets; Baird adds a mother-son team from Wells Fargo.
September 27, 2018
Sizing Up the SEC's Form CRSConsumer groups present the SEC with survey results that show investor confusion on Form CRS; lawmakers also weigh in.
September 27, 2018
FINRA's New Competency Exams a 'Significant' Event for Some BDsNew exams kick in Oct. 1 and will impact wirehouses, captive insurance BDs, Edward Jones and Ameriprise, says recruiting exec Henschen
September 26, 2018
SEC Hits Voya Financial Advisors With $1M Fine Over Cyber BreachHackers tricked a helpdesk into resetting passwords so they could gain access to customer data, the SEC said.
September 26, 2018
No Time Frame Yet for Final SEC Best-Interest RuleThe SEC is reviewing more than 6,000 comments on the plan, IM director Dalia Blass told lawmakers.
September 26, 2018
LPL Taps IBM Exec for Recruiting, Sales PostScott Posner will be based in San Diego; prior to IBM, he worked for a consultancy and as an executive at BNY Mellon.
September 25, 2018
FINRA's Top 5 Fine Categories in First Half of 2018Restitution is down significantly from 2017, according to Eversheds Sutherland's midyear analysis of FINRA disciplinary actions.
September 25, 2018
LPL Nabs Team of 4 Women From RivalThe team specializes in tax issues, and many of their clients are women, including widows.