Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Names New Enforcement Chief
By Melanie WaddellBill St. Louis succeeds Jessica Hopper, who stepped down in February.
August 18, 2023
Ex-Broker Gets Life in Prison for Crimes Tied to Death of ClientKeith Todd Ashley was found guilty of fraud and a gun charge; a murder case is pending.
August 17, 2023
Jamie Hopkins: What the CFP Mark Really Means NowThe certification will only become more important in the future, the Carson Group exec tells ThinkAdvisor.
August 16, 2023
FINRA Says Video Conferences Now a Permanent Hearing OptionVideo conference hearings will be allowed for disciplinary and enforcement hearings under certain conditions.
August 16, 2023
Get Ready for a Fall Market Pullback, Baird Strategist Warns AdvisorsRoss Mayfield tells ThinkAdvisor what advisors should (not) do and how he's answering clients' biggest questions right now.
August 16, 2023
FINRA Adopts Stricter Expungement RulesRequests for "straight-in" expungements will now have to be heard by a special roster of arbitrators.
August 11, 2023
This Is Not the 'Altruist' You're Looking for: Michigan RIA Sues for Trademark InfringementAltruist Financial Advisors' CEO says his firm has received money intended for the California-based custodian.
August 11, 2023
Ex-LPL Broker Gets 4 Years in Prison for Raiding Older Clients' AnnuitiesOne affected client had dementia and another had suffered a traumatic brain injury, according to the Justice Department.