Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Adds 2 Recruiters in West
By Janet LevauxThe independent channel sees more advisors joining its rep force of about 500 in the region.
March 07, 2018
How to Prepare Your Succession Plan: Tips From CerulliA new report from Cerulli Associates explains what advisors contemplating retirement need to do to groom their successors.
March 07, 2018
Savings of Ex-NFL Player Left Gutted by Unpaid FINRA Arb Award"My outlook for retirement: working many years into my late 60s," said Bruce Wilkerson, now a machinist.
March 07, 2018
Top Trends Shaping Advice Industry: FidelityAs the urgency around Labor's fiduciary rule has faded, other concerns weigh more heavily on advisors' minds.
March 06, 2018
Bill Requires FINRA to Foot Unpaid Arb BillsSen. Warren's Compensation for Cheated Investors Act directs FINRA to set up a pool funded by penalties from BDs that will pay unpaid final arbitration awards.
March 05, 2018
LPL Delays Death of BranchNet, but Upgrades New PlatformAs the independent broker-dealer makes a tech switch, its advisors react to how plans are being tweaked.
March 01, 2018
FINRA Plan on Outside Business Activities to Spark 'Much Debate'FINRA floated a rule Wednesday to free broker-dealers of liability for investment advisors' outside business activities.
February 28, 2018
FINRA's Top 5 Fine Categories in 2017While restitution ordered by the Financial Industry Regulatory Authority skyrocketed in 2017, with $66 million ordered repaid to investors — an increase…