Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Triad Adds $850M Team From Wells Fargo
By Janet LevauxIn a related development, Triad owner Ladenburg Thalmann says a separate subsidiary has acquired annuity-related assets.
November 02, 2018
How to Avoid the Dreaded 8210 Letter From FINRABeing proactive, and using technology, can help you avoid a full-on FINRA investigation.
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.