Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
More Reg BI Actions on The Way: FINRA Enforcement Chief
By Melanie WaddellFINRA is also looking to improve communication and resolve cases faster, Bill St. Louis says.
January 26, 2024
JPMorgan Shuffles Top Managers as Jamie Dimon Prepares SuccessorsThe shuffle, halfway through Dimon's five-year retention package, affects Marianne Lake, Jenn Piepszak and Troy Rohrbaugh.
January 24, 2024
New FINRA Home Office Rules Take Effect in JuneFINRA also set a launch date for a three-year pilot program for remote inspections.
January 23, 2024
BD Crypto Communications Not Up to Snuff: FINRAA report found that 70% of retail communications potentially violate a rule on fair and balanced interactions.
January 22, 2024
FINRA Suspends Broker Over Reg BI ViolationsThe broker engaged in quantitatively unsuitable trading in the accounts of eight clients, three of whom were seniors.
January 19, 2024
16 Top Advisor Credentials: CerulliPeople enter the financial advice industry from a variety of backgrounds and with different areas of expertise.
January 19, 2024
JPMorgan Lifts CEO Jamie Dimon's Pay to $36M for 2023The bank had a record profit of $49.6 billion last year, boosted by interest rate hikes and its purchase of First Republic Bank.
January 18, 2024
Ex-Citi Advisor Charged With Fraud in Film Investment SchemeHelen Caldwell solicited clients to invest in her movie projects and spent their money on herself, prosecutors say.