Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
CFP Board Sanctions Advisor Over Misleading YouTube Video Ad
By Jeff BermanThe planner claimed individuals could be "100% certain" of affording retirement in "just 3-5 years," the board said.
January 10, 2023
Former Broker Pleads Guilty to Filing False Tax ReturnThe ex-broker filed individual income tax returns omitting installment payments related to the sale of his advisory firm.
January 10, 2023
Cetera Picks Up $2.5B RIAPatriot Financial Group, formerly affiliated with Advisor Group's Securities America, has 70-plus advisors in seven states.
January 10, 2023
Ex-Broker Gets Over 5 Years in Prison for $2.9M Securities SchemeThe former broker diverted clients' funds to repay previous investors and for his own use, according to DOJ.
January 06, 2023
10 Expressions That Help You Get What You WantAdvisors face many situations where using the right words is the key to getting the desired result.
January 04, 2023
Morgan Stanley Takes On UHNW Challenges Beyond Tax PlanningThe Family Legacy and Governance Institute is intended to help with "qualitative" planning needs, Glenn Kurlander says.
January 03, 2023
Former Fidelity Broker Wins $500K in Wrongful Termination CaseA FINRA panel also ruled that the ex-broker's Form U5 termination disclosures should be revised.
December 30, 2022
FINRA Fines, Suspends Ex-Securities America Rep Who Impersonated Dead ClientThe ex-broker pretended to be her deceased relative, a firm client, in a phone call, FINRA says.