Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
More Fintech and Active/Passive Analysis in Next Year's CFA Exam
By Bernice NapachThe updated CFA curriculum reflect the latest changes in investment management.
August 23, 2018
Raymond James Grabs $1B Wells Fargo Team, $235M Merrill Group: Recruiting RoundupRBC Wealth Management said a team with $390 million and an advisor with $170 million have been recruited from Wells Fargo; Janney picks up a Merrill group with $235 million.
August 22, 2018
SEC's Clayton Says Sales Contests Must Die"Main Street investors have no tolerance for certain questionable sales practices such as high-pressure, product-based sales contests," Clayton said Wednesday.
August 22, 2018
Investing View From the Advisory Frontlines: A Talk With Advisors, Part IWhat are the challenges advisors face in their businesses, from investing to compliance, and what are the biggest challenges in their practices?
August 21, 2018
SEC Charges Unregistered Brokers in Sales of Bankrupt Woodbridge SecuritiesUnregistered brokers pitched investors via TV, radio ads and at a "conservative retirement and income planning class."
August 21, 2018
Merrill Hit With $8.9M SEC Fine Over Conflicts of InterestMerrill failed to disclose "its own business interests in deciding whether certain products should remain available to investment advisory clients," said SEC's Berger.
August 17, 2018
Ladenburg Gives Reps New Succession, M&A and Other ToolsThe platform includes access to coaching.
August 16, 2018
Judge Remands Scottrade Fiduciary Case Back to State AgencyJudge Gorton blesses Galvin's plea, stating: "This Court lacks subject matter jurisdiction and plaintiff's motion to remand will be allowed."