Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Merrill Grabs $2B Team From Morgan, Loses $800M Group to Janney
By Janet LevauxBofA-Merrill Lynch adds eight advisors in the state of Washington, while Janney picks up five reps in Connecticut.
October 04, 2016
National Planning BD Network Grabs Exec From Rival CeteraJay Vinson makes a switch to NPH, which just tapped a new head for its advisory platform strategy.
October 04, 2016
15 Firms, Including 3 Super OSJs, Join FSIOne of the new member firms is affiliated with LPL Financial, which is not part of the industry group itself.
October 01, 2016
Singing, Diet May Help Delay Dementia OnsetAmy Florian, CEO of Corgenius, said we dont know the cause of dementia nor do we have a magic bullet to prevent or reverse the condition.
September 30, 2016
Ex-Broker Must Pay $600K for ‘Siphoning Money’ From Older Couple: FINRAJerome Krause fraudulently borrowed money from his clients when he was working for First Heartland Capital, FINRA said.
September 29, 2016
Recruiting Roundup: Wells Fargo, Merrill Nab Morgan Stanley RepsMeanwhile Deutsche Bank Wealth Management and MV Financial share news on their latest hires.
September 28, 2016
DOL Fiduciary Has Many Advisors Mulling Career Change: Fidelity SurveyWhile 29% of advisors see a positive impact from the DOL rule, 28% are considering retirement or a career change.
September 28, 2016
Nationwide Says DOL Rule Behind Jefferson National DealNationwide said it struck a deal to buy the Louisville-based Jefferson National, a firm with about $4.7 billion in client assets.