Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Grabs $1B Wells Fargo Team, $235M Merrill Group: Recruiting Roundup
By Janet LevauxRBC Wealth Management said a team with $390 million and an advisor with $170 million have been recruited from Wells Fargo; Janney picks up a Merrill group with $235 million.
August 21, 2018
SEC Charges Unregistered Brokers in Sales of Bankrupt Woodbridge SecuritiesUnregistered brokers pitched investors via TV, radio ads and at a "conservative retirement and income planning class."
August 21, 2018
Merrill Hit With $8.9M SEC Fine Over Conflicts of InterestMerrill failed to disclose "its own business interests in deciding whether certain products should remain available to investment advisory clients," said SEC's Berger.
August 17, 2018
Ladenburg Gives Reps New Succession, M&A and Other ToolsThe platform includes access to coaching.
August 16, 2018
Judge Remands Scottrade Fiduciary Case Back to State AgencyJudge Gorton blesses Galvin's plea, stating: "This Court lacks subject matter jurisdiction and plaintiff's motion to remand will be allowed."
August 16, 2018
Advisors Have a Major Blind Spot on Retirement Income PlanningClients' needs in the distribution phase are just as varied as in the accumulation phase. Here are three ways to adapt.
August 15, 2018
Raymond James, Affiliate Add 4 Wells Fargo Reps With $662M: Recruiting RoundupMeanwhile, a duo of Wells Fargo advisors move to Ameriprise Financial in California with some $161 million in assets.
August 14, 2018
Allianz Life Joins Envestnet PlatformThe second insurance company to join the exchange will offer its full portfolio of annuities.