Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Merrill Launches Virtual Video Studio for Advisors
By Jeff BermanAdvisors can use the new tool to create content and connect with clients and prospects at scale.
February 13, 2023
FINRA Fines Long Island BD Over Reg BIThis is FINRA's third Reg BI-related enforcement action this year.
February 10, 2023
Ex-Broker Convicted of Aiding ISISRuslan Maratovich Asainov left financial services, traveled to Syria and became a sniper, according to the DOJ.
February 10, 2023
Why Regulation Best Execution Makes Payment for Order Flow Difficult: SEC RoundupNick Morgan and Tom Zaccaro talk with Bloomberg columnist Nir Kaissar about the interaction of two controversial proposals.
February 09, 2023
Latest LPL Service for Advisors: Partial Book SalesAdvisors who need a quick way to reduce the size of their practices can now shift clients to LPL Financial.
February 09, 2023
Cetera Takes Minority Stake in $1.7B FirmThe BD/RIA has made a strategic investment in Overland Park, Kansas-based Prosperity Advisors.
February 07, 2023
SEC Reveals Top Exam Priorities for 2023The new Marketing Rule is one compliance area that tops the list.
February 07, 2023
Ex-LPL, Wells Fargo Rep Pleads Guilty to Stealing $600K From ClientsThe now-barred broker used clients' money to fund gambling and personal expenses, according to the Justice Department.