Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Edward Jones Aims High With Bridge Diversity Program
By Ginger SzalaThe firm is building on its WINGS program for female advisors, according to Monica Giuseffi.
November 13, 2017
SEC’s Top 3 Enforcement PrioritiesStephanie Avakian, co-director of enforcement, said the agency is trying to be more strategic, expanding the use of digital analytics in investigations.
November 09, 2017
Lessons for Advisors From a Bus TourThe American Century/Investopedia tour, covering six cities in five states, found that advisors should focus more on financial planning than portfolio management to attract clients.
November 09, 2017
LPL Says Retention of NPH Reps at 70%If it hits 72% of fees and commissions, the IBD will need to pay up to $123 million more for its acquisition.
November 09, 2017
Securities America Nabs $1.7B OSJ From National Planning Corp.Two Ladenburg Thalmann-owned BDs have landed billion-dollar groups.
November 08, 2017
American Portfolios Rolls Out New Tech Platform at ConferenceThe independent broker-dealer says HomePort now serves as the base for its proprietary and integrated web services.
November 08, 2017
SEC Creating Searchable Database of Bad BrokersThe site will be particularly valuable for spotting fraudsters who have been stripped of their registrations, SEC Chairman Clayton said.
November 07, 2017
Fired JPMorgan Wealth Manager Gets $1.1MVerdict comes after eight years of delays and appeals; bank lawyers plan to ask judge to set verdict aside.