Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Bars Ex-Edward Jones Rep Who Bought Gold on Behalf of Client
By Jeff BermanFINRA also suspended another ex-rep of the firm who was terminated over alleged excessive, unreasonable business expenses.
April 14, 2022
Best Full-Service Wealth Management Firms, Ranked by Investors: — J.D. Power, 2022The biggest firms have improved their tech offerings but lag on delivering comprehensive advice, new research finds.
April 13, 2022
A Fresh Take on the Term 'Financial Literacy'Despite its well-intended positive connotation, the term can have the opposite effect, especially in underserved communities.
April 13, 2022
Ex-Morgan Stanley Rep Inflated Clients' Net Worth, FINRA SaysThe rep circumvented limits on non-investment grade bonds, leading to his firing and suspension, according to FINRA.
April 13, 2022
Money Management Is Out, Personalization and Planning Are In: Fidelity ExecMichael Durbin of Fidelity Institutional discussed some findings on how clients would like advisors to spend their time.
April 12, 2022
LPL CEO's Pay Rises 77%Despite the pay bump, Dan Arnold's pay is considerably less than CEOs at rival firms including Morgan Stanley.
April 11, 2022
Advisors Want a Spot Crypto ETF: Nasdaq SurveyMore than 70% of crypto-embracing advisors would more likely invest client assets in crypto if a spot ETF was available.
April 08, 2022
Nearly All Merrill Brokers Expected to Shift to Teams by 2030While it's unclear if teaming will be required, such a mandate could prompt some advisors to flee, recruiters say.