Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Commonwealth Expands Talent Exchange to Connect Students With Advisors
By Jeff BermanCommonwealth says it will "foster connections between students and its affiliated advisors" and support needs of affiliated firms.
September 05, 2023
SEC to Consider Revised Funding Model for CATThe SEC will also consider whether to establish a fee schedule for Consolidated Audit Trail fees.
September 05, 2023
FINRA Hits Another BD With Reg BI-Related FineNetwork 1 Securities did not establish, maintain and enforce a supervisory system to comply with Reg BI's care obligation.
August 31, 2023
Best & Worst Broker-Dealers: Q2 Earnings, 2023During the second quarter, the operations of First Republic Bank became part of JPMorgan.
August 30, 2023
Ex-Morgan Stanley Exec Says He Was Fired for Being WhiteIn a lawsuit, Kevin Meyersburg alleges that the wirehouse replaced him with a less-qualified Black woman.
August 25, 2023
Ex-Wells Fargo, LPL Rep Gets 3.5 Years in Prison for Stealing $626K From ClientsThe broker pleaded guilty to stealing from clients at both firms to fund his gambling and personal expenses.
August 24, 2023
LPL to Add $50B in Prudential Wealth AssetsAssets held at Fidelity's National Financial, other third parties and Prudential should move to LPL by late 2024.
August 22, 2023
LPL Picks Up $1.5B Advisor Team From KestraWatermark Wealth Management has offices in Arizona and Minnesota.