Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
New Pretrial Date for Ex-Broker Charged With Murder of BofA-Merrill Exec
By Dinah Wisenberg BrinAnthony Duwayne Turner is accused of killing former girlfriend Michelle Avan in 2021; he has pleaded not guilty.
December 29, 2023
Don't Forget This Important Planning Task for the New YearTaking some time now to plan for your business enables you to serve clients better.
December 28, 2023
LPL Fined $5.5M for Transaction Supervision IssuesThe broker-dealer also will pay $650,000 in restitution plus interest to 125 clients affected by its failures from 2012 to 2019.
December 27, 2023
RIA Model Is at the 'Tipping Point': Mercer Advisors' WellingThe fiduciary model helps clients "connect the dots to get what they really want" for their financial lives, the CEO said.
December 27, 2023
It Was a Tough Year for Almost Every Bank Not Named JPMorganThe buyer of First Republic Bank has seen its stock soar 26% in 2023, outpacing its major competitors.
December 25, 2023
Wall Street Wins Bid to Keep Non-Compete Clauses in New YorkNew York would have become the second most populous state to ban these clauses, joining California.
December 19, 2023
Citi Suit Raises #MeToo Claims at Wall Street's Top LevelsArdith Lindsey says seniority didn't protect her, nor did the elevation of Jane Fraser to Citigroup's CEO slot.
December 18, 2023
Dimon's Heir at JPMorgan Still Hazy as More Years Tick ByA management shuffle put Jennifer Piepszak and Marianne Lake into the spotlight, but others have entered the fray.