Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Broker-Dealers and the Fiduciary Rule
By Danielle Andrus, James J. GreenScenario 4: The DOL enacts its fiduciary rule. How does this change the way you charge and disclose fees? Which clients are most affected? How seriously does it affect your business?
September 23, 2015
UBS Nabs $1.3B Merrill Team; Wells Fargo Grabs $1B Morgan Stanley RepsMeanwhile, Raymond James recruits groups with more than $800 million in client assets to its employee channel.
September 23, 2015
LPL to Pay $3.2M Over Sales of Nontraded REITs, Leveraged ETFsA settlement was reached with NASAA, Massachusetts and Delaware attorneys general.
September 23, 2015
2015 Broker-Dealers of the Year: The Leaders SpeakBehind the scenes and in front of the camera, the leaders of the 2015 Broker-Dealers of the Year discuss the IBD industry and their own firms' value propositions.
September 23, 2015
Big pharma lobby group forswears drugmaker targeted by ClintonTuring increased the cost of Daraprim to $750 per pill, from $13.50.
September 22, 2015
Marcato Capital Takes 6.3% Stake in LPLThe hedge fund, known for its activist approach, thinks LPL's shares are undervalued.
September 21, 2015
Advisors Lure Million-Dollar Clients on Social MediaSome 17% of respondents to an American Century survey said they acquired business of at least $1 million in part because of social media.
September 21, 2015
SEC Fines First Eagle, Affiliate $40 Million for Improperly Charging ShareholdersThe firms used shareholder money instead of 12b-1 fees to pay for fund distribution, the SEC said. Similar enforcement actions could be in the offing.