Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Mulls Update to Complex-Product Rules
By Melanie WaddellRules around qualifications for options traders, for instance, pre-date the rise of DIY investing, CEO Cook said.
October 21, 2021
How Advisors Can Guide a Client's Whole Financial LifeForward-thinking financial advisors are helping clients tie everything together so they can make informed decisions.
October 20, 2021
Raymond James to Buy TriState Capital for $1.1BAs part of the transaction, which the firms expect to close next year, Pittsburgh-based TriState will continue to operate as a separately branded firm.
October 20, 2021
Schwab's Sonders: 5 Gloomy Economic Trends Advisors Should Watch"Late-cycle alarms" have been ringing lately in markets, the firm's chief investment strategist says.
October 19, 2021
Schwab CEO: Personalized Investing 'Coming at Us Like a Freight Train'During the opening session of Schwab Impact, Walt Bettinger also pointed to the huge opportunity for growth in the RIA sector.
October 19, 2021
Jamie Dimon Boosts JPMorgan Wealth Advisors' Pay From Windsor CastleThe bank is revamping its 20-year-old pay structure for J.P. Morgan Advisors as it aims to double the unit's headcount.
October 19, 2021
TIAA Sues Ex-Advisors for Allegedly Soliciting ClientsThree advisors left TIAA to start Tidewater Wealth Management and allegedly tried to take clients with them.
October 18, 2021
Morgan Stanley Loses FINRA Arb Case on Botched Options TradingA client alleged the wirehouse was negligent and failed to supervise when trading of Tesla options wasn't executed properly by a rep.