Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
10 Best & Worst Broker-Dealers: 2015 Earnings
By Ronald Pechtimaldjian, Katie RassThe top four firms on this list posted huge earnings gains year over year, while profits shrank for the bottom five.
March 23, 2016
Raymond James CEO: Over 90% of Alex. Brown Reps RetainedRaymond James says it's on track to retain most of the 200 Deutsche Bank advisors moving to the firm after the wealth unit's acquisition.
March 23, 2016
Are DOL Fiduciary Foes Protecting the Little Guy? Financial Engines CIO Cries FoulChristopher Jones says opposition to the fiduciary rule is not really about how it impacts small investors but firms' desire to sell them high-fee products.
March 23, 2016
Dalbar’s Harvey: DOL Fiduciary Rule’s Cost to Brokers’ BusinessesThe Dalbar CEO talks to ThinkAdvisor about how the rule will change brokers day-to-day jobs and how those who embrace their fiduciary duties will profit.
March 23, 2016
The DOL (and SEC) Fiduciary Rule and the Two-Hat DilemmaMichael Kitces is right that the fiduciary issue is one of the brokerage industrys own making, which is why it's still wrestling with the complications.
March 22, 2016
Morgan Stanley to Pay $34 Million to HSN Founder’s EstateTwo brokers, Ami Forte and Terry McCoy, are liable for claims of unauthorized trading, negligence and unjust enrichment, among others, a FINRA panel said.
March 22, 2016
RCS Capital, Cetera Settle Poaching Suit With LightyearLightyear, which is buying the Advisor Group from AIG, has agreed not to recruit RCS Capital's senior management through late September.
March 21, 2016
Ladenburg Thalmann Rolls Out Robo-AdvisorReps in Ladenburgs network, which includes Securities America, Triad, Investacorp and other IBDs, can offer automatic investing to clients with as little as $500.