Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
741 BDs Opt In to FINRA Home Office Inspections
By Melanie WaddellOpt-ins are highest among large firm and represent 22% of the industry, FINRA says.
July 17, 2024
FINRA Reminds BDs of Their Duties When Using AIA FINRA notice reminds BDs that its rules are intended to be technology-neutral.
July 15, 2024
California Advisor Charged With Child Porn PossessionThe advisor pleaded not guilty on Thursday.
July 10, 2024
Best & Worst Firms for Advisor Satisfaction: J.D. Power, 2024In an unusual finding, average satisfaction of emloyee advisors was higher than that of their independent counterparts.
July 10, 2024
Broker Violated Reg BI With Mutual Fund Switches: FINRAThe Class A share switches in two older clients' accounts led to nearly $41,000 in excessive fees, FINRA says.
July 09, 2024
Couple Sues Schwab and Hightower, Saying Fraudsters Looted Their AccountsThieves turned off electronic account notifications and stole nearly $1 million through small transactions, the suit says.
July 09, 2024
UBS to Pay $850K Fine Over Rep's Unapproved Third-Party SalesA UBS rep sold clients a "fixed annuity" offered by an entity formed by his friend, FINRA said.
July 05, 2024
Merrill Violated Reg BI With $1.5M in Avoidable Fees: FINRAMerrill's failure to stop its reps from dodging fee waivers affected 1,361 clients, according to FINRA.