Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Securities America to Pay $1.5M for Fund Overcharges
By Janet LevauxThe broker-dealer "disadvantaged" 1,514 clients who were eligible to buy share classes without extra charges, FINRA says.
August 01, 2016
Top Portfolio Products: Additions and Subtractions for Direxion ETFsDirexion announced two new ETFs plus splits for five ETFs that rallied sharply and reverse splits for four that suffered large losses.
July 28, 2016
Ameriprise Misses Q2 Estimates, Cites Market TurmoilThe firm cited increased volatility, lower average equity markets and persistently low interest rates for a 19% profit drop.
July 26, 2016
Are You an RIA, IAR, FA, Rep, Indie Advisor or Broker? We’ve Got You CoveredThat clich that we live in interesting times happens to be accurate right now for the advisor community.
July 26, 2016
SEC Launches Exam Sweep of RIAs’, Broker-Dealers’ Share Class PicksThe sweep will identify conflicts of interest in recommendations for mutual fund and 529 plan share classes with substantial loads or distribution fees.
July 26, 2016
What Advisors Can Learn From the Gravedigger's DilemmaHow can the financial services profession restore its reputation and attract new talent? Some insights from Hungarian gravediggers.
July 26, 2016
How to Handle Client Setbacks: Advice From 6 Industry GurusAnyone in the planning business knows the humbling adage, Man proposes, but God disposes. Or more colloquially, Stuff happens.
July 26, 2016
A Summer of Broker-Dealer DiscontentFrom fines to financial pressure and recruiting woes, employee-advisor firms are facing significant challenges this summer.