Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FPA Launches Support Community for Neurodivergent Financial Planners
By Michael S. FischerThe Neurodivergent Planner Knowledge Circle will explore the needs of planners with autism, ADHD, dyscalculia, dyslexia, Tourette syndrome and other learning variations.
October 06, 2021
Cathie Wood's Ark Leaving New York for FloridaThe firm will open its new headquarters on Nov. 1 in St. Petersburg, which is home to Raymond James and Dynasty Financial.
October 06, 2021
Morgan Stanley's Mike Wilson Warns of Fresh Stock-Market Pain"We've been calling for this 10-20% correction that would be led by tech stocks," said the chief investment officer and U.S. equity strategist.
October 06, 2021
SEC Is Stretched Thin, Gensler TestifiesExam division staff has remained relatively flat despite recent growth of more than 20% in the number of RIAs, Gensler said.
October 05, 2021
Top 5 Financial Planning Trends for the Next 5 YearsThe Financial Planning Standards Board surveyed CFPs on what they think financial advice delivery will look like.
October 05, 2021
10 Fastest-Rising Costs for Older Americans Since 2000Social Security benefits may be adjusted for inflation, but the costs of many goods and services rise faster.
October 05, 2021
Court Date Set for Suspect in Merrill Exec's MurderA preliminary hearing for Anthony Duwayne Turner, accused of killing Bank of America executive Michelle Avan, has been set for Dec. 1.
October 04, 2021
SEC Charges Stock Trading Webcast Host in Pump-and-Dump SchemeThe former broker already pleaded guilty, in a parallel action, to conspiracy to commit wire and securities fraud.