Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Clients Rate Top Financial Services Firms in 6 Categories
By Emily ZulzA new Hearts & Wallets report measures customer trust and loyalty, the intent to invest more and intent to recommend.
April 05, 2018
13 Big Fund Firms to Report Active Share to All Investors After NY ProbeNew York's attorney general says the change can help investors since the DOL fiduciary rule is no longer being enforced for retirement savings.
April 05, 2018
Edward Jones Sued Over Alleged Fee-Based 'Churning Scheme'Four investors say the firm misled them about fees and about Jones' 'preference for investing in proprietary funds.'
April 05, 2018
Ameriprise Nabs Edward Jones Team; Janney Adds 11 Reps in Q1: Recruiting RoundupMeanwhile, Fiduciary Trust Company International says Suzanne E. Kline, CFA, has joined the firm from Wells Fargo; InCapital hires industry veteran Paul Motolla as head of Capital Markets.
April 04, 2018
Sen. Warren Presses Fed Chair Powell on Wells Fargo Remediation PlansWarrren wants Powell to commit to a Board of Governors vote on whether to accept the bank's progress.
April 03, 2018
HD Vest Nabs LPL Exec as Marketing ChiefChau Nguyen Haner, who will work closely with the firm's 4,000 affiliated advisors, had been with the rival broker-dealer since 2009.
April 03, 2018
How Advisors Use Social Media and Why They Should: PutnamThe latest Putnam Social Advisor Survey shows explains the social media imperative for advisors who want to grow their business.
March 29, 2018
Best Full-Service Investment Firms Ranked by Investors: J.D. Power — 2018Client satisfaction continues to increase across nearly all full-service broker-dealers, the latest survey finds, but improving loyalty among millennials is a significant challenge.