Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA's Top 5 Fine Categories in 2017
By Melanie WaddellWhile restitution ordered by the Financial Industry Regulatory Authority skyrocketed in 2017, with $66 million ordered repaid to investors — an increase…
February 27, 2018
The Benefits of Keeping the Bigger Comp Picture in MindThere are plenty of reasons advisors should make their compensation plans about more than money.
February 26, 2018
What Is Going on With Cetera?The network of independent broker-dealers is hiring Goldman Sachs to review its capital structure, which could lead to many possible outcomes.
February 26, 2018
LPL Wraps Up NPH Deal, Adds Second Wave of RepsLPL executives have said that some 2,000 NPH reps and $75 billion in client assets are moving to its platform.
February 26, 2018
FSI Backs DOL's Association Health Plan ProposalThe independent advisor trade group could offer health insurance to members if Labor expands access to association health plans.
February 23, 2018
How Scottrade Could Have Avoided DOL Rule ChargesScottrade made a bet that the Impartial Conduct Standard wouldn't be enforced. It lost. But, for now, there's another way firms can keep sales incentives.
February 22, 2018
3 Types of Cyberattacks and How to Avoid Them: FINRA ConferenceOne key reminder: Many attacks are due to human error.
February 22, 2018
Size of RIA Deals Up 45% in 2017: FidelityAccelerating consolidation is expected this year, industry watchers say.