Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Slaps 3 BDs for Consolidated Reporting Failures
By Melanie WaddellInadequate reporting controls raise risk that "unscrupulous representatives will provide inaccurate and misleading reports to their clients to conceal fraud and theft, says FINRA's Bennett.
March 27, 2015
Royal Alliance Adds $600M Group With 33 RepsAlso, Securities America welcomes back a $100 million team from LPL Financial.
March 26, 2015
Ameriprise Agrees to $27.5M 401(k) SettlementThe broker-dealer was accused of charging its employees high fees and using expensive proprietary funds.
March 26, 2015
SEC Fines Firm, Unregistered BDs $6 MillionNine companies and 12 individuals acted as brokers for corporate bond sales without legal registration.
March 25, 2015
Will She or Won’t She? Mary Jo White and the Broker Fiduciary StandardNews of SEC Chairwoman Whites support for a broker fiduciary standard may be greatly exaggerated.
March 25, 2015
Here's what young advisors really think about selling insuranceGen X and Gen Y advisors are reporting high levels of job satisfaction due to a number of factors.
March 25, 2015
How Tax-Savvy Advisors Can Tackle Obamacare TaxesChad Smith of HD Vest discusses ways to help clients with the Medicare surtax in the Affordable Care Act.
March 25, 2015
United Capital’s Duran: Wealth Management Is Dead. Long Live Life Management!Wall Street is out of step with the public in promising to make people richwhen their real goal is to have rich lives.