Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Talk of FINRA as Advisor SRO Rears Its Head Again
By Melanie WaddellA Republican on the House Financial Services Committee said at FINRA's annual conference that he would "explore" legislation to give FINRA advisor exam authority.
May 27, 2015
What Firms Claim About Their Brokers’ Fiduciary Duty (and Lack Thereof)Broker-dealers publicly market themselves as putting their clients first. But when it comes to arbitration cases, they sing a different tune.
May 26, 2015
Baird Adds Branch Manager From UBS, Advisor From Morgan StanleyThe employee-owned wealth firm added advisors in Maine and Ohio.
May 25, 2015
Eric Schwartz: Still a Broker-Dealer Pioneer—The 2015 IA 35 for 35Cambridge's founder led the independent BD industry to the promised land of fees. Now hes leading them to succession planning nirvana.
May 21, 2015
Raymond James Shares New Tech, April ResultsThe firm is recognized for an aggregator tool, and says its client assets are nearly $502 billion.
May 20, 2015
On Wall Street, if You Earn More You Cheat More, Study FindsMore than a third of the highest paid financial professionals have firsthand knowledge of wrongdoing, and many say compensation plans incentivize lawbreaking, the study found.
May 20, 2015
Clients Deserve a Clear Choice Between Sales and AdviceThere's nothing wrong with commissions as long as the clients understand that they are getting sold rather than advised.
May 19, 2015
Dale Brown: Architect of FSI—The 2015 IA 35 for 35In a short 11 years, the Dale Brown-led FSI has grown in membership and budget while staying focused on IBD advocacy.