Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
'Raise Your Voice' Campaign Pushes for SEC Reg BI Changes
By Melanie Waddell"This [Reg BI] is just regulation gone wrong," said Sheryl Garrett, head of Garrett Financial Planning Network.
July 23, 2018
Deutsche Bank Units to Pay $75M to SEC Over ADRsThe units allowed pre-released ADRs to be used for "abusive practices," the SEC said.
July 20, 2018
Carson Group Invests In and Adds $1.1B Texas TeamPinnacle Financial Group, led by Michael David, will change its brand but not its broker-dealer in the process.
July 20, 2018
Senate Dems Call SEC Reg BI 'Confusing,' Prod FINRA for AnswersSens. Warren, Brown and Booker say the rule is unlikely to "give investors the peace of mind they deserve."
July 19, 2018
Raymond James Taps New Southeast Chief: Recruiting RoundupMeanwhile, RBC adds a $425 million team from Merrill Lynch, and Commonwealth Financial picks up a $120 million group from Ameriprise.
July 18, 2018
Why Aren't You Managing Your Clients' Employee Retirement Plans?Fidelity is about to eat your 401(k) lunch. Don't let them eat your dinner, too.
July 17, 2018
Cetera Financial's Future Owner Is RevealedAfter months of speculation about a sale, the group—which has 8,000 affiliated advisors—is set to be bought by a private-equity firm.
July 17, 2018
Goldman Ushers in New Era as Solomon Takes Reins From BlankfeinThis is only the second handover in Goldman's two-decade run as a public company.