Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Recruiting Roundup: $400M Team Leaves First Allied for DFPG
By Marlene Y. SatterIn other news, Raymond James says a bank group has become its latest institutional affiliate.
January 06, 2016
Moody’s Downgrades RCS Capital (Again)The news follows RCAP's announcement that it would file for bankruptcy and spin off Cetera.
January 05, 2016
FINRA’s Top Exam Priorities for 2016FINRA CEO Richard Ketchum tells ThinkAdvisor that one of the top priorities for the year is managing brokers' conflicts of interest.
January 05, 2016
As Cetera Splits From RCAP, Will Its Advisors Split, Too?Cetera advisors must face the fact that no "white knight" is coming to buy the firm, recruiter Mark Elzweig says. Will they stay or go?
January 04, 2016
RCAP to File for Bankruptcy; Cetera to Become Private FirmDespite industry speculation, the group of independent broker-dealers is not being sold.
January 04, 2016
SEC Investor Advocate to Congress: 'Appropriate Limits' Needed in Elder Fraud RulesSEC's Fleming tells lawmakers that any new authority given BDs and advisors "to intervene in clients accounts" must include "limits on that authority."
January 01, 2016
Lion Street Announces Strategic Partnership With Voya FinancialLion Street is partnering with Voya Financials individual life insurance business.
December 31, 2015
Who Wins, Who Loses With New DOL Rule? $3 Trillion in PlayMorningstar's Stephen Ellis looks at the costs, benefits of DOL fiduciary rule, says $3 trillion in assets will be affected.