Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Drug, device makers gave U.S. doctors, hospitals $6.49 billion
By Caroline Chen and Zachary TracerThe 2015 vendor goody value total was 0.9 percent higher than the 2014 total.
July 01, 2016
Honoring Advisors Who Serve(d): Fourth of July, 2016ThinkAdvisor honors 13 veterans this Fourth of July who served in the armed forces and now serve their clients as financial advisors.
June 30, 2016
JPMorgan Accused of Double Standard on Broker PoachingFirms says some arent subject to the "cease-fire" industry pact; the decade-old agreement is under strain as banks claim exceptions.
June 30, 2016
FINRA Posts Loss for 2015 as Costs Rise, Fines Drop 30%Revenue from fines weakened to $93.8 million, while costs grew to over $1 billion on technology projects.
June 30, 2016
4 Useful Hacks for the SEC’s IAPD Disclosure SiteThese IAPD tips can be as valuable to you and your firm as they are to investors checking you out.
June 29, 2016
How a UK Advisor, Strategist Handled BrexitLondon-based Raymond James wealth manager Matthew Hunt and his colleague, Chris Bailey, say their clients arent panicking as "the dust settles."
June 27, 2016
Stifel Sells Independent, Custodial Units of Sterne AgeeThe deal comes about one year after it bought Sterne Agee for $150 million.
June 27, 2016
SIFMA Roiled by Split Over DOL Fiduciary Suit by Wirehouses, Smaller FirmsLarge broker-dealers favored compliance over fighting DOL; Wells Fargo, Morgan Stanley said to have opposed court battle.