Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Atria Buys $15B Firm From Kestra
By Jeff BermanWith the addition of Grove Point, formerly H. Beck, Atria's operations should include about 2,700 financial professionals.
April 17, 2023
Schwab Slashes 80 More Jobs in TD Ameritrade IntegrationThe latest cuts were "in no way connected to current events in the financial sector," a spokesperson said.
April 14, 2023
FINRA's Expungement Rules Just Got TougherThe new rule imposes stricter standards on "straight-in" expungements and sets up a special roster of arbitrators.
April 14, 2023
How LPL Is Giving Advisors the 'Muscle' to Grow: Executive"Advisors who use one of our services are growing on average 28% faster than peers," Aneri Jambusaria says.
April 13, 2023
Best & Worst Firms for Self-Directed Investors: J.D. Power, 2023A poll finds most DIY investors, including those seeking guidance from advisors, don't understand how technology manages portfolios.
April 13, 2023
JPMorgan Compliance Urged Bank to Drop EpsteinIts asset and wealth management chief Mary Erdoes said recently the bank knew by "2006 that Epstein was accused of paying cash to have underage girls ... brought to his home."
April 12, 2023
8 Financial Managers Indicted in $72M SchemeThe defendants scammed at least 200 clients, according to prosecutors.
April 11, 2023
RBC Picks Up $1B First Republic TeamRBC's reputation of financial strength and dedication to supporting advisors were reasons cited for the move.