Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Beats Estimates, Stops Reporting Quarterly Advisor Headcount
By Janet LevauxIndustry watchers say they don’t see a downside to the firm's new approach to disclosing this data.
January 27, 2025
Raymond James Gets Restraining Order Against Ex-Intern Accused of DefamationThe court barred the former intern from going within 100 yards of firm offices and two employees.
January 27, 2025
Citi Reworks Its Private Bank as Head Leaves Firm After 18 YearsWith Ida Liu's departure, the unit's four regional heads will report to Andy Sieg, head of Citi's wealth business.
January 24, 2025
Janney Montgomery Scott Names New CEOTony Miller will also keep his current role as president, a position he has held since 2023.
January 17, 2025
Goldman Rakes In Record Wealth RevenueTotal wealth management client assets stood at around $1.6 trillion at year-end.
January 17, 2025
SEC Fines LPL $18M for AML ViolationsLPL failed to close or restrict thousands of prohibited high-risk accounts, according to the SEC.
January 16, 2025
New Raymond James Program Seeks to Support Tampa Bay EducationThe firm has committed $7.5 million to nonprofits that support success within and outside the classroom.
January 14, 2025
Ex-Intern Waged Smear Campaign Against Raymond James, Suit AllegesPhony email campaigns suggested two employees were convicted rapists with neo-Nazi ties, the firm's defamation suit says.