Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
The Future of the DOL Fiduciary Rule Could Be Decided This Week
By Bernice NapachAs a federal judge in Texas has ruled in favor of the Labor Department, clarity could be coming soon.
February 03, 2017
Advisors Mixed on Trump’s DOL Rule ReviewRIAs at TDAI conference expect to keep their competitive edge since they are already fiduciaries.
February 03, 2017
Want a Good Year for Stocks? Root for the Falcons in the Super BowlAFC Super Bowl wins particularly when the Patriots play seem to portend worse stock market years, according to LPL's Ryan Detrick.
February 02, 2017
First Republic, Raymond James & RBC Grab Merrill Reps: Recruiting RoundupMeanwhile, Merrill Lynch adds a $2 million-producing advisor from Morgan Stanley.
February 02, 2017
FINRA Expels BD, Bars CEO for Fraudulent Muni Bond SalesRobert Lawson transferred millions of dollars from a deceased client's trust to hide bond borrowers' poor financial condition.
February 02, 2017
Cetera BD Has New Operations ChiefTim Stone takes over as COO, after predecessor Tom Taylor becomes president of the 2,400-advisor IBD.
February 02, 2017
Stifel ‘Will Always Look at Good Deals’: CEOIn the fourth quarter, profits more than doubled at the financial firm, which has 2,282 financial advisors.
February 01, 2017
The first three steps to improving your customer experienceTodays service and reward economy has elevated consumer expectations, and that creates a difficult challenge for most organizations.