Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC Wants BDs to Assess Cash Reserves Daily
By Melanie WaddellThe SEC's plan, released Wednesday, would amend the broker-dealer customer protection rule.
July 07, 2023
Barred Broker Accused of Bilking Gold Star Families as Army CounselorThe ex-broker is accused of defrauding 24 families; also on Friday, FINRA expelled his former BD.
July 07, 2023
Raymond James to Reorganize Employee Advisor ChannelThe shifts aim to bring more "leadership alignment" to Raymond James & Associates and Alex. Brown, the firm says.
July 06, 2023
LPL Veteran Returns to Lead Strategic Business DevelopmentJeremy Holly is back after a two-year stint at SageView Advisory Group.
July 05, 2023
Clearing, Trading Most Popular Uses for Fintech by Advisors: SurveyISS Market Intelligence looks at the fintech providers advisors use most.
July 03, 2023
FINRA Posts $218M Loss for 2022The loss was driven by investment performance, FINRA execs say.
July 03, 2023
Barred Broker Gets 8 Years in Prison for $1.9M Ponzi SchemeThe judge called Anthony Liddle's crimes "monstrous."
June 29, 2023
Fired Rep Says Wells Fargo Added Fake Investigations to His U5: LawsuitA Black advisor alleges Wells fired him, then amended his Form U5 when he reported discrimination.