Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL's Blockchain Portfolio: Forward Thinking or Foolish?
By Janet LevauxThe independent broker-dealer's move is being hotly debated by industry players and observers.
June 14, 2018
ProEquities Gives Reps New Cyber-Defense ToolsThe broker-dealer's platform was built by Entreda and works across desktops, laptops, smartphones and other devices.
June 14, 2018
How to Tell if a Broker Is Selling Unapproved InvestmentsThe SEC lists signs that a broker may be running a side business offering investments that are not approved for sale.
June 14, 2018
FINRA Overhauls CRD, BrokerCheck Disclosure SystemFINRA's new WebCRD interface is designed "to give more immediate responses to firms about potential red flags in their submissions."
June 14, 2018
These Easy-to-Use Technologies Can Transform Your Client Service: Bill WinterbergAt Pershing Insite, Winterberg and other tech experts discussed some service-boosting technologies and how to integrate them.
June 14, 2018
Raymond James Nabs Wells Fargo Reps With $760M: Recruiting RoundupMeanwhile, Kestra adds a team from UBS, and Lightyear-based Wealth Enhancement Group buys Cimino Wealth Advisors.
June 13, 2018
SEC Advice Plan Requires Big Change in Broker Behavior: ClaytonSEC chief responded to questions at agency's first town hall, held in Atlanta.
June 13, 2018
LPL, Massachusetts Reach Deal Tied to $26M Unregistered Securities FineOther states likely will make similar announcements regarding the return of money to investors as part of a nationwide agreement.