Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Nearly Back to ‘Normal’ After Irma
By Janet LevauxThe Florida-based firm, which shifted resources out of the area due to Hurricane Irma, pledges to support associates affected by the storm.
September 12, 2017
FINRA Fines BD Over ‘Death Puts’The ruling comes one month after an SEC judge dismissed similar claims involving one of C.L. Kings hedge fund clients.
September 12, 2017
Recruiting and the Role of Technology: 2017 Broker-Dealers of the YearAs broker-dealers face increasing consolidation and pricing pressures, technology has emerged as a way for firms to add scale and efficiency.
September 11, 2017
What Workers Want, and Aren’t Getting, From Their 401(k) PlansA new survey from Betterment for Business finds that many plan participants want a lot more service than their plans provide.
September 11, 2017
FinaMetrica Offers XYPN Members Risk Tolerance Toolkit: Portfolio ProductsIn addition, Franklin Templeton launched two new municipal bond ETFs and Sage Advisory Services added a customized laddered muni strategy.
September 08, 2017
Raymond James Moves Staff, Ops Out of South Florida Ahead of IrmaCEO Paul Reilly says a chartered flight is departing for Memphis; some staff will go to facilities in other parts of the U.S.
September 08, 2017
FINRA Mulls Releasing ‘Bulk’ BrokerCheck DataBulk data on broker-dealers would give view into BDs that employ brokers with a history of FINRA violations, Cook said.
September 08, 2017
Tom Bradley’s Sad, but Unsurprising, Exit From TD AmeritradeIndustry watchers explain why the popular institutional and retail chief saw his role eliminated after a $4 billion merger with Scottrade.