Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Commonwealth Rolls Out Private Wealth Designation Program
By Jeff BermanThe CPWA designation is for advisors who want to meet the complex needs of wealthy clients.
January 30, 2023
SEC Issues New Warning on Reg BI Compliance FailuresBDs are using outdated compliance systems, resulting in violations, the SEC exam division says.
January 30, 2023
Next Hearing Set for Suspect in BofA-Merrill Exec's KillingEx-Merrill broker Anthony Duwayne Turner's next hearing will be held Feb. 15.
January 27, 2023
Goldman Sachs Slashes CEO Solomon's Pay About 30%His package includes a $2 million base salary and $23 million in variable compensation, mainly in restricted stock units.
January 26, 2023
Morgan Stanley Fines Some Staff $1M Over Messaging BreachesIndividual penalties are based on factors like seniority, the number of messages sent and any prior warnings.
January 26, 2023
Fee Ignorance Is Widespread Among Investors: FINRATwenty-one percent of survey respondents thought they paid no investment fees at all.
January 25, 2023
Market, Economy Likely to Worsen Before Improving: JPMorgan Strategist"Overall, we do think the direction of the economy is south," JPMorgan's Marko Kolanovic said.
January 25, 2023
Cetera to Buy Securian Financial's Wealth UnitThe deal includes 1,000 financial professionals and 30 firms working with a total of $72.2 billion in assets.