Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Firms Signal Desire for Change in Wealthtech: Report
By Emily HolbrookWealth management firms controlling roughly $10 trillion in AUM represent the biggest market opportunity for fintech, Cerulli found.
February 23, 2022
10 Reasons You're Worth Your FeesAdvisors add far more value than a website or an app.
February 22, 2022
Advisors Leave Women, Youngest Investors in Lurch on Sustainable InvestingWhile 72% of clients surveyed are interested in ESG investments, 87% said their advisor hasn't suggested them.
February 22, 2022
Baird Nabs $850M Morgan Stanley RepsThe advisors move from the wirehouse to Baird in Yakima, Washington, and Durango, Colorado.
February 18, 2022
FINRA Orders Review of Wells Fargo Arb Ruling That Was Struck Down in CourtA judge ruled that Wells Fargo had manipulated the arbitrator selection process.
February 18, 2022
Edward Jones Sets Office Return Date With Flexible Work PolicyThe broker-dealer's home office staff will have the option of working on-site full time, remotely or a hybrid of the two.
February 18, 2022
New Court Date Set for Suspect in Merrill Exec's MurderThe next hearing for the former colleague and ex-boyfriend of slain Bank of America executive Michelle Avan will be on March 22.
February 16, 2022
Ex-Broker Gets 7 Years in Prison Over $2.4M Scam Targeting Older ClientsThe ex-broker told investors they were funding a shopping app but spent their money on gambling, jewelry and other items, prosecutors said.