Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Ex-Advisor Sentenced to Almost 22 Years in Prison Over Fake-Annuity Scam
By Jeff BermanThe former Allstate, LPL and Merrill Lynch broker was convicted of stealing over $9.3 million from clients.
August 02, 2022
Mariner Wealth Adds $8.6B RIAHeber Fuger Wendin Investment Advisors, based near Detroit, focuses on work for community banks and credit unions.
August 02, 2022
Citi's New Wealth Unit to Add 500 JobsThe decision to expand the bank's wealth management offerings was "blindingly obvious," said Citigroup CEO Jane Fraser.
August 01, 2022
Raymond James Creates Advisor Network for VeteransVFAN's main goal is to continue enhancing the professional development and support of veterans working for the firm.
August 01, 2022
Worker Classification for Independent Financial Professionals: Big Changes Ahead?The Labor Department plans to propose new rules on independent contractors that might affect advisors.
July 29, 2022
National Securities Closes Its DoorsThe broker-dealer ceased operations this week, and its advisors moved to B. Riley Wealth through a merger.
July 29, 2022
FINRA Seeks to Allow Private Homes as Non-Branch OfficesHome offices deemed "residential supervisory locations" would be inspected regularly and face certain limitations.
July 28, 2022
3 Senators Challenge Fidelity's 'Immensely Troubling' 401(k) Bitcoin PlanBitcoin fans say the senators are on the wrong side of history.