Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Preliminary Hearing Set for LPL Network Firm Employee Charged in Double Murder
By Jeff BermanThe next preliminary hearing for Ramy Fahim will be Aug. 15.
June 01, 2023
Wells Fargo Advisors Picks Up New Head of National Sales From JPMorganBarry Simmons was most recently a managing director and head of J.P. Morgan Wealth Management's East Division.
May 31, 2023
Atria BD Adds Former Signature Bank Advisors With $1BThe three-person team joins a branch of Cadaret Grant in New York.
May 31, 2023
Here's How FINRA Spent $48M of Fine MoneyThe regulator spent an additional $63.3 million on "fines-eligible expenditures," it said.
May 30, 2023
JPMorgan Builds Unit for the Super RichThe unit, called 23 Wall, doesn't have a minimum wealth threshold, but it clearly caters to the richest 0.01%.
May 25, 2023
JPMorgan Jettisons 1,000 First Republic EmployeesThe biggest U.S. bank on Thursday offered full-time or transitional roles to almost 85% of the nearly 7,000 employees
May 25, 2023
Ex-Edward Jones Rep Sentenced to 2 Years in Prison for Scamming ClientsThe former broker took nearly $800,000 from clients, prosecutors said.
May 24, 2023
Atria Division Signs Wealth Management Deal With Harvard Credit UnionCUSO Financial Services will provide tools including a portal and app.