Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Morningstar Launches Investment Analysis Platform for Wealth Managers
By Bernice NapachMorningstar Direct for Wealth Management allows multiple teams at wealth management firms to share information in real time.
May 03, 2018
Raymond James Taps Exec to Oversee Independent ContractorsJodi Perry, who previously led operations in the Southeast, is now leading this group nationwide.
May 03, 2018
FINRA to Toughen Sanctions on Repeat ViolatorsThe revised Sanction Guidelines also tell adjudicators to consider arbitration actions filed by clients against a broker.
May 02, 2018
Raymond James Adds $1.7M Advisor From Wells Fargo: Recruiting RoundupJanney also nabs an advisor from Wells Fargo, as Ameriprise picks up a group of four reps from AXA Advisors.
May 02, 2018
States Fine LPL $26M Over Unregistered Securities SalesThe IBD must repurchase some unregistered, nonexempt securities sold to clients over the past 12 years, plus interest.
May 01, 2018
Ameriprise Shareholders Reject Exec Pay Plan'We have never had below 80% support on this advisory vote,' the company said.
May 01, 2018
The 2018 IA 25 WinnersThis year's list is based on readers' opinions and highlights those who are ahead of the pack with their insights, innovation and disruption.
April 30, 2018
FINRA Issues Guidance, Seeks Comment on High-Risk BrokersThe regulator highlights instances when heightened supervision of brokers may be needed.