Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Lessons From SEC's Action on Leveraged ETPs, Cadaret Grant
By Max SchatzowA review of issues for firms to consider as they develop supervisory procedures around leveraged or inverse exchange products.
September 12, 2018
Larry Roth Rides 'Tailwinds' to Launch Consulting FirmThe ex-Cetera CEO tells ThinkAdvisor about his new role and what he sees in the immediate future for advisors and their practices.
September 12, 2018
JPMorgan's Dimon Backtracks on Bragging He Could Beat Trump'I'm as tough as he is, I'm smarter than he is,' the bank leader says at first, but later explains in an official statement, 'I should not have said it.'
September 11, 2018
SEC Will Reimburse Retail Investors Hurt by Leveraged Oil NoteBroker-dealer Cadaret Grant recommended inappropriate investments, regulators say, and will pay $500,000 penalty plus disgorgement, interest.
September 11, 2018
SEC Takes Action Against Digital Token OfferingMichigan-based TokenLot LLC and its owners allegedly acted as unregistered broker-dealers in selling digital tokens, the SEC said.
September 11, 2018
LPL-Affiliated Group Adds 7 Advisors in TexasGenesis Wealth has about $300 million in assets and expects to hit $500 million next year, according to one of its 12 advisors.
September 10, 2018
4 Regtech Challenges for BDs to Watch For: FINRAA new buzzword — suptech, or supervisory technology — is also coming into play.
September 10, 2018
Death of DOL Fiduciary Rule Is a Boon to Investment Cos.: StudyUnder the Obama-era rule, 36 investment companies lost $14 billion in market capitalization, a new paper asserts.