Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Argent Financial to Add AmeriTrust Companies
By Janet LevauxThe merger should put Argent's total client assets at $19 billion and its number of professionals at over 270 in the South.
July 04, 2018
Goldman Sachs Taps New Private Wealth Chief in San Francisco: Recruiting RoundupMeanwhile, a group affiliated with HD Vest shares details about its expansion plans in Oklahoma.
July 03, 2018
Schwab Settles SEC Suit on Reporting FailureSchwab was charged with failing to file reports on suspicious transactions by 37 independent investment advisors.
July 03, 2018
Advisors Switching Firms Face Another Obstacle After Court RulingA Georgia court ruled that Broker Protocol firms can still require departing reps to give advance notice.
July 02, 2018
Massachusetts Targets BDs With 'Bad Brokers' Selling Private PlacementsRegulators are scrutinizing LPL and nine other firms after a news report that ties billions of dollars per year in sales of private company stakes, often to seniors.
July 02, 2018
Best & Worst BDs for Advisors: J.D. Power — 2018Female advisors show striking differences in satisfaction levels from their male counterparts, the marketing firm finds.
June 29, 2018
SEC Hits the Road to Hear Investors' Thoughts on Best-Interest PlanChairman Jay Clayton will be holding a series of roundtable discussions with investors around the country in July.
June 29, 2018
FINRA Reveals Where Fine Money WentThe regulator outlines, for the first time, project work and other initiatives supported by sanctions.