Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Fired Rep Says Wells Fargo Added Fake Investigations to His U5: Lawsuit
By Jeff BermanA Black advisor alleges Wells fired him, then amended his Form U5 when he reported discrimination.
June 28, 2023
Here's What a 'Trusted Contact' Is, and Isn't: FINRA ExecMany investors mistakenly think a trusted contact can trade in their account, Jim Wrona says.
June 28, 2023
Fired Wells Fargo Brokers File Age, Race Discrimination SuitThe plaintiffs alleged that they were fired for being white and in their 60s.
June 27, 2023
UBS Plans to Cut Over Half of Credit Suisse WorkforceBankers, traders and support staff in Credit Suisse's investment bank in several locations should likely bear the brunt of the cuts.
June 27, 2023
New Advisors in Short Supply as 72% of Trainees Fail: CerulliNew research from Cerulli says that firms must work on developing sustainable talent pipelines to combat high attrition.
June 22, 2023
Advisor Group's New Name Gets Mixed ReviewsSome say Osaic sounds modern and fresh, while others liken it to the name of a drug.
June 22, 2023
JPMorgan to Pay $4M Over 47 Million Deleted RecordsThe SEC alleges that JPMorgan Securities permanently deleted the electronic records, including emails and instant messages.
June 22, 2023
How to Help Employee Advisors Who Want More IndependenceFor many advisors, independence is just a bridge too far. But greater autonomy and control are often closer than they realize.