Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
F&G Explains Registered Index-Linked Annuity Launch Strategy
By Allison BellChris Blunt says it's all about the distribution channels.
May 05, 2023
What the Broker-Dealer Industry Looks Like Now, in 5 ChartsThe number of registered reps increased for the first time since 2015.
May 05, 2023
Oppenheimer Ordered to Pay Another $14M Over Ponzi SchemeA FINRA arb panel ruled against Oppenheimer for a third time after clients were steered to invest in a sketchy fund.
May 04, 2023
Merrill to Pay $1.4M Over Cold CallingAdvisor trainees called numbers on do-not-call lists, according to New Hampshire regulators and FINRA.
May 04, 2023
Snappy Kraken Unveils Digital Marketing Service: Tech RoundupAlso, Interactive Brokers has launched a new direct-indexing solution RIAs can use to personalize client portfolios.
May 03, 2023
BrokerCheck to Show Problem Firms' 'Restricted' StatusStarting June 1, FINRA will label high-risk firms on the site.
May 02, 2023
4 Must-Knows for Advisors in SEC's New Reg BI GuidanceWhile aimed at BDs, the guidance helps clarify the care obligation for advisors, compliance expert Amy Lynch says.
May 01, 2023
What JPMorgan's First Republic Deal Means for Its Wealth UnitFirst Republic's large presence in California stands out as an appealing factor, with 32 branches in San Francisco and 10 in Los Angeles.