Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Steward Partners Adds Wirehouse Reps, Opens Office in Morristown, N.J.
By Janet LevauxAdvisors from Wells Fargo and Morgan Stanley join the Raymond James affiliate with an expected $360 million.
May 03, 2018
FINRA Amends Anti-Money Laundering Rule to Comply With Treasury ProgramBroker-dealers have until May 11 to ensure that their AML programs are updated and comply with the CDD Rule.
May 03, 2018
Raymond James Taps Exec to Oversee Independent ContractorsJodi Perry, who previously led operations in the Southeast, is now leading this group nationwide.
May 03, 2018
FINRA to Toughen Sanctions on Repeat ViolatorsThe revised Sanction Guidelines also tell adjudicators to consider arbitration actions filed by clients against a broker.
May 02, 2018
Raymond James Adds $1.7M Advisor From Wells Fargo: Recruiting RoundupJanney also nabs an advisor from Wells Fargo, as Ameriprise picks up a group of four reps from AXA Advisors.
May 02, 2018
States Fine LPL $26M Over Unregistered Securities SalesThe IBD must repurchase some unregistered, nonexempt securities sold to clients over the past 12 years, plus interest.
May 01, 2018
Ameriprise Shareholders Reject Exec Pay Plan'We have never had below 80% support on this advisory vote,' the company said.
May 01, 2018
The 2018 IA 25 WinnersThis year's list is based on readers' opinions and highlights those who are ahead of the pack with their insights, innovation and disruption.