Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Betterment Played Favorites With Clients After Brexit Vote: Massachusetts Regulator
By Bernice NapachThe regulator is unhappy with the unequal treatment of Betterments retail and institutional clients during the firms trading halt following Brexit.
September 14, 2016
Cetera to Sell Legend Group to Lincoln InvestmentThe deal affects about 350 advisors, $6 billion in assets and clients who are retired from teaching and other non-profit jobs.
September 14, 2016
FINRA Fines Ameriprise for Rep Who Stole $370K From His FamilyAmeriprise was fined for allegedly failing to exercise reasonable due diligence in supervising the accounts, the regulator said.
September 14, 2016
Stifel to Acquire Indiana-based City FinancialStifel Financial Corp. will acquire City Financial and its wholly owned subsidiary, independent investment bank City Securities.
September 14, 2016
State regulators eye senior abuse issuesState securities regulators are paying close attention to the sale of investment products to seniors and other potentially vulnerable customers.
September 14, 2016
State regulators eye senior abuse issuesState securities regulators are paying close attention to the sale of investment products to seniors and other potentially vulnerable customers.
September 13, 2016
Raymond James Nabs Ex-Wirehouse ManagerThe firm picks up a complex manager in Seattle who used to work for Merrill Lynch, Morgan Stanley and RBC.
September 12, 2016
Top Portfolio Products: New Funds from Fidelity, CBOE Vest and DirexionFidelity introduced six factor-based ETFs, CBOE Vest added a defensive stock fund and Direxion launched two leveraged ETFs.