Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
10 States the Young and Wealthy Are Fleeing: 2023
By Michael S. FischerHere's where high earners age 26-35 are leaving faster than they can be replaced, according to SmartAsset.
September 05, 2023
FINRA Hits Another BD With Reg BI-Related FineNetwork 1 Securities did not establish, maintain and enforce a supervisory system to comply with Reg BI's care obligation.
August 31, 2023
Best & Worst Broker-Dealers: Q2 Earnings, 2023During the second quarter, the operations of First Republic Bank became part of JPMorgan.
August 30, 2023
Ex-Morgan Stanley Exec Says He Was Fired for Being WhiteIn a lawsuit, Kevin Meyersburg alleges that the wirehouse replaced him with a less-qualified Black woman.
August 25, 2023
Ex-Wells Fargo, LPL Rep Gets 3.5 Years in Prison for Stealing $626K From ClientsThe broker pleaded guilty to stealing from clients at both firms to fund his gambling and personal expenses.
August 24, 2023
LPL to Add $50B in Prudential Wealth AssetsAssets held at Fidelity's National Financial, other third parties and Prudential should move to LPL by late 2024.
August 22, 2023
LPL Picks Up $1.5B Advisor Team From KestraWatermark Wealth Management has offices in Arizona and Minnesota.
August 21, 2023
FINRA Names New Enforcement ChiefBill St. Louis succeeds Jessica Hopper, who stepped down in February.