Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Next Hearing Set for LPL Network Firm Employee Charged in Double Murder
By Jeff BermanThe next hearing for Ramy Fahim has been scheduled for June 2.
February 10, 2023
Why Regulation Best Execution Makes Payment for Order Flow Difficult: SEC RoundupNick Morgan and Tom Zaccaro talk with Bloomberg columnist Nir Kaissar about the interaction of two controversial proposals.
February 09, 2023
Latest LPL Service for Advisors: Partial Book SalesAdvisors who need a quick way to reduce the size of their practices can now shift clients to LPL Financial.
February 09, 2023
Cetera Takes Minority Stake in $1.7B FirmThe BD/RIA has made a strategic investment in Overland Park, Kansas-based Prosperity Advisors.
February 07, 2023
SEC Reveals Top Exam Priorities for 2023The new Marketing Rule is one compliance area that tops the list.
February 07, 2023
Ex-LPL, Wells Fargo Rep Pleads Guilty to Stealing $600K From ClientsThe now-barred broker used clients' money to fund gambling and personal expenses, according to the Justice Department.
February 06, 2023
Ex-Wells Fargo Advisor Alleged Rape by Co-Worker, Faced Retaliation: LawsuitThe advisor sued Wells Fargo, saying her clients were reassigned after she reported the incident.
February 03, 2023
Cetera Lured Advisors With $13B of Assets in 2022The results represented a record year for Cetera and were up from about $10 billion in 2021.