Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
B. Riley Boca Brokers Exit Ahead of Firm's Effort to Raise Cash
By David VoreacosThe office was known to be a top producer for the wealth unit, which managed about $25 billion at the end of last year.
October 03, 2024
LPL Recruits $2.1B Team From Raymond James in TexasThe Noble Group has nine advisors and is based in Sugar Land, Texas.
October 02, 2024
What to Learn From LPL's Firing of Dan Arnold: RecruiterAll eyes are on the broker-dealer to see how it navigates this uncertainty.
October 02, 2024
LPL CEO's Firing Catches Some by SurpriseConsultant Chip Roame says LPL has done well under the leadership of Dan Arnold, who was fired for cause.
October 02, 2024
TD Securities to Pay $28.5M to Resolve Spoofing AllegationsThe charges concern tens of billions of dollars in fraudulent trades of Treasurys, authorties said.
October 01, 2024
LPL Fires CEO Dan Arnold for MisconductArnold made statements to employees that violated LPL's code of conduct, an investigation found.
October 01, 2024
Schwab Nears Settlement in Antitrust Suit Over TD Ameritrade DealParties in the lawsuit told a judge they've reached a "settlement in principle."
October 01, 2024
Schwab CEO Bettinger to RetireBettinger steps down after 16 years leading the firm, to be replaced by President Rick Wurster.