Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Ex-LPL, Wells Rep Stole $500K, Gambled With Client Money, Prosecutor Says
By Jeff BermanIf convicted of stealing over $500,000 from clients, the barred broker faces a maximum of 65 years in prison.
March 10, 2022
Ex-Merrill Advisor Who Hurled Drink, Racist Insults Seeks ProbationFacing three charges, James Iannazzo is looking to apply for a pretrial probation program.
March 07, 2022
How Advisors Do the Party CircuitSpring brings opportunities for advisors to mingle with coveted prospects.
March 07, 2022
Ex-LPL Rep Who Put Clients' Funds in Tequila Company Takes Shots From FINRAThe former LPL and Royal Alliance broker has been suspended for seven months and fined $5,000.
March 04, 2022
Steward Nabs $600M Wells Fargo TeamThe five-person team is coming on board via Steward Partners' affiliate option rather than via an employee partnership.
March 04, 2022
Credit Suisse, UBS Wealth Clients Face Margin Calls on Russian AssetsSwiss banks are asking rich clients to post more collateral after cutting lending values on Russian securities, say people familiar with the matter.
March 03, 2022
Cambridge in Hot Water Over Revenue Sharing, Wrap Account ConflictsCambridge failed to disclose conflicts of interest and breached its duty of care related to fund selection, the SEC said.
March 03, 2022
Citigroup Plans to Target Independent Advisors in Wealth Management PushThe bank is working with InvestCloud to offer the products to nearly 150 wealth management firms on that company's platform.