Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Voluntary goes mainstream
By Bonnie Brazzell and Gil LowerreResults from the 2015 Benefits Selling/Eastbridge voluntary survey.
July 02, 2015
SEC Enforcement: AlphaBridge Capital, Deloitte & Touche ChargedSEC charged a hedge fund with a fraudulent fund valuation scheme; Deloitte & Touche hit with violating auditor independence rules.
July 01, 2015
Focus Financial Adds $1B RIA in ChicagoAlso, Raymond James adds a $390 million independent-employee group in Beaufort, S.C., from Wells Fargo.
July 01, 2015
SEC: Ex-Broker Sold Clients Fake CDs With 12% InterestFormer advisor Malcolm Segal is accused of a $15.5 million Ponzi scheme involving bank CDs some real and some nonexistent.
June 30, 2015
Merrill Adds $750M Ex-Barclays Group in HoustonThe group was part of Lehman Brothers until 2008.
June 29, 2015
LPL Names Former E-Trade Exec CFOLPL Financial has hired former E-Trade Chief Financial Officer Matthew Audette as its new CFO. Audette will report directly to LPL Chairman and CEO Mark…
June 29, 2015
Deutsche Bank $3 billion wealth team leaving to start own firmThe group is joining a stream of brokers that have left big banks and brokerages to start up their own firms.
June 29, 2015
Dynasty Adds $3B Ex-Deutsche TeamThe San Francisco-based group comes on board as an RIA serving entrepreneurs in Silicon Valley.