Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
10 Worst Financial Advisors in America: 2023
By Dinah Wisenberg BrinWhile most advisors make clients' lives better, others stand accused of financial crimes — and worse.
December 14, 2023
Osaic to Buy Lincoln's Wealth Unit for $700MThe deal could result in a firm with a total of about 11,950 financial professionals and some $608 billion in assets.
December 14, 2023
The 10 Most Successful Celebrity Investors in 2023These entertainers have turned riches into wealth in stocks, real estate and other investments.
December 14, 2023
Citigroup Offers Partial Early Bonuses to Encourage Staff DeparturesAlong with the bonus awards, employees who accept the offer could also keep all of their deferred stock awards.
December 13, 2023
Would New DOL Fiduciary Rule Curtail Advice Access? No Way, Consumer Groups TestifyAt a DOL hearing, the Consumer Federation of America called this industry argument "a scare tactic."
December 12, 2023
Why Some Financial Firms Are Wary of AICompanies face hurdles in using generative artificial intelligence, according to a recent EY survey.
December 11, 2023
FINRA Releases Reg BI NoticeThe notice points broker-dealers to various SEC resources to help them comply with the best-interest rules.
December 08, 2023
FINRA Tried to Ban Firm for 60,000% Fee Hike. It's Fighting Back.Alpine and three other firms are challenging FINRA's power in court; the Supreme Court may rule on the matter next year.