Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Schwab to Launch Hybrid Robo-Advisor Service
By Bernice NapachSchwab Intelligent Advisory combines the service of a live credentialed professional and logarithm-driven technology.
December 09, 2016
Blucora, HD Vest to Add Robo-ServicesSome 5 million TaxAct clients will soon have access to the Financial Guard platform but can opt to work with FAs instead.
December 08, 2016
State Warns BDs: Watch ‘Bad Actors’ or We’ll Do It For YouA sweep of more than 240 broker-dealers in Massachusetts yields some revealing information on misconduct and supervision.
December 08, 2016
Enforcement Director Ceresney to Leave SECDuring Andrew Ceresneys nearly four years as enforcement director, the SEC filed more than 2,850 enforcement actions.
December 08, 2016
The SEC on ADV Disclosure, Aaron Rodgers and the Robare DecisionThe multiple, troubling parallels between a TV commercial starring the Packers quarterback and the SECs overkill on the Robare conflict-of-interest case.
December 08, 2016
Is Your Broker-Dealer in a Death Spiral? 4 Steps to DiscoveryA BDs management will rarely share problems at the firm until its too late. Heres how reps can overcome that challenge, according to Jon Henschen.
December 08, 2016
Raymond James Grabs More Wells Fargo Reps: Recruiting RoundupAlso, Delaware Investments names its next head of equities, who will lead nine U.S.-based equity investment teams.
December 07, 2016
Wells Fargo to Pay $1M FINRA Fine Over Client ReportsSome 5 million-plus documents were not reviewed adequately, FINRA says, especially regarding client holdings outside of the bank.