Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Baird to Pay $519K Over Excessive Mutual Fund Sales Charges
By Melanie WaddellCustomers didn't receive sales charge waivers and fee rebates to which they were entitled.
November 02, 2023
Raymond James Names New Head of Indie Advisor UnitShannon Reid (right) will take the reins from Jodi Perry on Jan. 1.
October 31, 2023
Growth of Indie RIAs Rolls On: CerulliAs more advisors move into it, the RIA channel is poised to control nearly one-third of industry assets by 2027.
October 31, 2023
Buy These Stocks After Rout: JPMorgan's KellyThe latest leg down in stocks and a solid earnings season give investors an opening, says the global market strategist.
October 27, 2023
LPL Continues Recruitment Strength in Q3Business development head Richard Steinmeier pointed to the firm's new affiliation models for advisors.
October 27, 2023
Dimon Plans to Sell $135M of JPMorgan SharesDuring his tenure, the bank's shares have jumped nearly 250% and have has helped turn him into a billionaire.
October 26, 2023
Raymond James Picks Up $3B Cetera-Affiliated Advisor TeamThe wealth management firm adds to its Financial Institutions Division with 50 professionals from Columbia Wealth Advisors.
October 26, 2023
Raymond James' Profits Take $55M Hit From FinesThe $55 million hit was tied to the SEC's industry sweep of firms' off-channel communications.