Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Schwab Profits Rise 11% in Q3
By Janet LevauxThe firm's revenue tops estimates at $1.55 billion, a 13% year-over-year improvement.
October 10, 2014
Enforcement Roundup: FINRA Fines Morgan Stanley for Failures to Supervise Advisor ProgramIn other action, Massachusetts charges couple with fraud in real estate ventures.
October 10, 2014
Raymond James Sees Growth in RIA Unit; Adds Social Media, ETF OfferingsRelaunched and reinvigorated RIA custody unit has 110 RIA clients with $10 billion in AUM, adds Hearsay Social platform and 120 no-transaction-fee ETFs.
October 09, 2014
ThinkAdvisor’s 2014 Q3 Earnings Calendar for the Finance SectorA list of Q3 earnings release dates for companies of interest to financial advisors and investors.
October 09, 2014
SEC Slaps E*Trade for Unregistered Transactions, Issues Risk AlertSEC says that brokerage subsidiaries of E*Trade engaged in unregistered sales of micro-cap stocks; also issues Risk Alert reminding BDs of unregistered transaction duties.
October 09, 2014
Raymond James Highlights Women’s Achievements, Tech UpdatesThe firm attracts a record number of attendees, including 29 prospective advisors, to its 20th annual event for female reps.
October 09, 2014
New Hire Roundup: Vanguard’s McNabb to Serve Additional Term at ICIMeanwhile, Dynasty Financial Partners announced a new partnering with Nova Wealth Advisors.
October 08, 2014
Raymond James Reworks Employee Channel LeadershipThe shifts are announced ahead of its Womens Symposium and investment advisor confab.