Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Fined $900K Over Failure to Send 1.6M Notices to Clients
By Janet LevauxThe information should have been sent to investors whose accounts were tied to suitability notices over a seven-year period.
February 14, 2017
Valentine's Day Gifts at a Sweet Price Point: LPLThe IBD looks at trends affecting the costs of the most popular gifts for Feb. 14. Overall, prices rose slower than inflation.
February 13, 2017
Raymond James Adds $5M Morgan Stanley TeamThe four advisors switch firms with about $460 million in assets in Mt. Laurel, New Jersey.
February 10, 2017
Sen. Warren Wants to Know What Role Goldman Played in Trump Exec OrdersWith Goldman stock up almost 20% in the past three months, Democratic senators say the new president is "good for Wall Street but bad for Americans."
February 10, 2017
LPL CEO Says No Way on Pure RIAThe IBD discusses strategy and the impact of recent high-profile departures during its Q4 earnings call.
February 09, 2017
Northwestern Mutual Wealth Management Hits $100B in AUMNorthwestern Mutuals client investment AUM has more than doubled from 2006 to 2016.
February 09, 2017
Bogle: ‘Fiduciary Principle Will Live On’ No Matter WhatThe lower cost funds and fee-based accounts created in response to the fiduciary rule will remain, writes the former Vanguard CEO.
February 08, 2017
HighTower Nabs $1B Breakaway Duo in New York: Recruiting RoundupMeanwhile, RBC adds a pair from Merrill Lynch in Minneapolis with $1 million in yearly fees and commissions.