Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Google Reviews Are the New Client Referrals: Samantha Russell
By Jeff BermanThe new Google Screened "could be a huge game changer" under the new SEC ad rule, she says.
November 23, 2021
The Best & Worst Mobile Apps for Wealth Management: J.D. Power, 2021Overall customer satisfaction with these apps rose nine points year over year to 858 on a 1,000-point scale.
November 23, 2021
2021 News of the YearWe review the major developments affecting financial advisors — from Wall Street to Washington — over the past 12 months.
November 22, 2021
Top Advisor News of 2021Some of the most unfortunate developments in the advice industry this year included crime and alleged discrimination.
November 22, 2021
SEC Charges Ex-Janney Rep With Running $9.6M Market Manipulation SchemeThe former broker allegedly used 18 securities accounts at 14 brokerage firms to artificially influence the market prices of 2,000-plus securities.
November 22, 2021
Bogus Broker Who Threatened to Kill Disabled Client Gets 5-Plus Years Behind BarsGregg Brie admitted to embezzling funds from three victims, two of whom lived in his New York apartment complex.
November 20, 2021
UBS Names Ex-Morgan Stanley President as ChairmanColm Kelleher, 64, will stand for election to succeed Axel Weber at the Swiss firm's annual meeting in April.
November 19, 2021
FINRA: Ex-Edward Jones Rep Made Over 800 Unauthorized TradesFINRA suspended and fined the former broker, saying he also falsely identified himself as a senior vice president of a clearing firm.