Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Fines BD $75K for Email Violations
By Melanie WaddellIn one incident, a Ceros employee sent hundreds of clients' account data to their personal email, FINRA says.
February 20, 2024
LPL Expands HNW Program, Drops Asset MinimumThe firm is eliminating a $5 million investable asset minimum for HNW specialty services.
February 16, 2024
TIAA to Pay $2.2M for Reg BI Violations in IRA ProgramThe firm didn't disclose that core funds were more cheaply available in the IRAs' brokerage window, regulators say.
February 16, 2024
10 Top Priorities for SEC and FINRA in 2024Here are the hottest topics among regulators this year, according to ACA Compliance Group.
February 15, 2024
Burt White: 'If We Lose the Humanity, We're Toast'Carson Group is looking to the future and has big M&A plans, the exec tells ThinkAdvisor.
February 15, 2024
Why Stifel Exec Alex David Jumped to Raymond JamesHe spent the past three years as head of Stifel Financial's independent contractor channel.
February 13, 2024
LPL to Buy Atria Wealth Solutions for $805MThe move could add about 2,400 advisors and $100 billion of brokerage and advisory assets to the IBD.
February 09, 2024
New FINRA Arbitrator Selection Rules Start March 4The changes are intended to make the arbitrator selection process more transparent.