Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Interactive Brokers Starts Overnight ETF Trading
By Dinah Wisenberg BrinThe move allows clients to trade 24 popular iShares, SPDR , Vanguard and other ETFs around the clock, says the firm.
November 18, 2022
Why Recognition Matters: The LUMINARIES Program in ActionAs we showcase our 2022 winners, several aspects of the program are worth highlighting.
November 18, 2022
Meet the 2022 LUMINARIES WinnersThese 33 individuals and firms are making a difference in Community Impact, Diversity & Inclusion, Executive Leadership and Thought Leadership.
November 17, 2022
Commonwealth Now Aiming for $1T in AssetsThe aggressive target "reinforces" the firm's commitment to advisor growth, CEO Wayne Bloom says, and includes some "light M&A in the future."
November 17, 2022
Industry Experts Weigh In on Fidelity's Latest Tech MovesThe updates could make Fidelity more attractive for advisors looking to switch custodians, Tim Welsh says.
November 15, 2022
Jury Convicts Ex-Broker Who Lived Lavish Lifestyle Instead of Paying TaxesJames Millegan concealed millions of dollars from the IRS, according to court documents.
November 14, 2022
FINRA Bars Ex-Morgan Stanley Rep Who Steered Clients to Outside InvestmentsThe ex-broker recommended unapproved outside real estate investments to clients, FINRA said.
November 12, 2022
Ex-Broker Pleads Guilty To Stealing $500K From ClientsJennifer Campbell, 47, faces a maximum penalty of 20 years in prison and a $250,000 fine.