Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
2013 regulatory landscape: State and Federal
By Arthur D. Postal, Elizabeth D. Festa, Nichole MorfordIf you thought 2012 was chaotic, hold on to your hats: 2013 may well be one of the busiest years regulators and brokers have seen.
December 13, 2012
Poll Results: As SEC’s Schapiro Steps Down, Advisors Speak UpOur AdvisorOne survey found some sentiment for Sallie Krawcheck, but gave regulators overall poor marks for protecting consumers and providing a level playing field.
December 12, 2012
Massachusetts Sues LPL for Non-Traded REIT ViolationsThe complaint is focused on about 570 sales worth about $26.5 million.
December 11, 2012
Securities America Adds Group With 130 Reps, $1 Billion in AssetsInvestors Security of Suffolk, Va., joins the Nebraska-based firm, which added an Alabama team last month.
December 10, 2012
LPL Grabs Top Ex-MetLife TeamLegacy Financial moves to independence with about $150 million in client assets in Rochester, N.Y.
December 06, 2012
Crowdfunding Platform ConfidentCrowd Expands Under Title IIUsing Title II of the JOBS Act, ConfidentCrowd will offer smaller businesses the opportunity to participate in larger equity-based financings than available under Title III.
December 05, 2012
RIA Washington Wealth Adds Two Teams, Hits $1B in Recruited AssetsThe independent hybrid RIA is led by ex-wirehouse reps and uses LPL Financial as a broker-dealer.
December 03, 2012
AIG’s Advisor Group Wraps Up Woodbury PurchaseThe combined IBD will have roughly 6,000 advisors with some $125 billion in assets.