Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Fines, Suspends Rep for Sharing CFP Board Exam Content
By Melanie WaddellAfter passing the CFP Board exam, the rep disclosed exam content to others, FINRA says.
July 02, 2024
RBC to Pay $75K for Excessive Sales ChargesRBC failed to provide mutual fund sales charge waivers and fee rebates, FINRA said.
June 29, 2024
SIFMA, FSI Join Suit to Strike Down DOL Fiduciary RuleThe trade groups join insurance industry groups in asking a court in Texas to vacate the rule.
June 28, 2024
Vanguard Warns Clients to Hang Up and Log In, Or ElseThe firm is cracking down on heavy users of phone support. Is that fair?
June 28, 2024
FINRA Goes Quiet as Its Caseload PlungesTotal fines are down by half since 2016, raising the question: Will the watchdog catch the industry's next big fraud?
June 28, 2024
Ex-New York Life Rep Falsified Applications: FINRAShe paid premiums for customers and collected commissions, FINRA says.
June 27, 2024
Ameriprise, LPL Battle in Court Over Father-Son Advisor Duo Who Switched FirmsThe advisors took confidential material "in the dark of night" before leaving for LPL, Ameriprise says.
June 26, 2024
Expect SEC Reg BI Actions to Heat Up: Law FirmDual registrants "may be particularly compelling targets" for the regulator, Gibson Dunn attorneys say.