Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Credit Suisse to Pay SEC $30M for Corruption Charges
By Janet LevauxThis development comes about one month after Credit Suisse agreed to pay a $47 million criminal penalty to the U.S. Department of Justice.
July 03, 2018
Advisors Switching Firms Face Another Obstacle After Court RulingA Georgia court ruled that Broker Protocol firms can still require departing reps to give advance notice.
July 02, 2018
Massachusetts Targets BDs With 'Bad Brokers' Selling Private PlacementsRegulators are scrutinizing LPL and nine other firms after a news report that ties billions of dollars per year in sales of private company stakes, often to seniors.
July 02, 2018
Best & Worst BDs for Advisors: J.D. Power — 2018Female advisors show striking differences in satisfaction levels from their male counterparts, the marketing firm finds.
June 29, 2018
SEC Hits the Road to Hear Investors' Thoughts on Best-Interest PlanChairman Jay Clayton will be holding a series of roundtable discussions with investors around the country in July.
June 29, 2018
FINRA Reveals Where Fine Money WentThe regulator outlines, for the first time, project work and other initiatives supported by sanctions.
June 29, 2018
Indie BD Exec Wins Seat on FINRA BoardSecurities America CEO Jim Nagengast, who had the support of the Financial Services Institute, received more votes than Shelley O'Connor, managing director and co-head of Morgan Stanley Wealth Management.
June 28, 2018
Raymond James Says Curtis to Lead Private Client GroupTash Elwyn and Jodi Perry also assume new responsibilities as COO Dennis Zank moves into retirement.