Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Top 20 Colleges Whose Business Grads Earn Highest Salaries
By Michael S. FischerThe study of business offers one of the widest salary ranges of any major, PayScale reports.
September 03, 2021
FINRA Bars Ex-Merrill Rep Who Received COVID Disaster LoanThe ex-broker was terminated by Merrill after he refused to produce documents it requested while investigating whether he improperly applied for an EIDL.
September 03, 2021
Schwab's 'Aggressive' Hiring Plan Includes 450 Jobs in AustinThe new hires will join the firm's 2,750 employees now based there, Schwab says.
September 03, 2021
Advisor to Pay $841K for Charging Hidden Fees to Pro AthletesDouglas E. Elstun charged higher fees than clients had agreed to and invested in high-risk ETFs, the SEC says.
September 02, 2021
FINRA Names Vanguard CEO, Commonwealth Lawyer as New GovernorsVanguard CEO Tim Buckley will fill the FINRA board's investment company affiliate seat.
September 02, 2021
Snappy Kraken Delays JOLT Conference: Tech RoundupMeanwhile, the UBS Investment Bank has given new funding to the Lynk AI-driven platform.
September 02, 2021
Goldman Adds Executive From SchwabCynthia Loh has been named to a key post in the Personal Financial Management Group.
September 01, 2021
SEC Halts Ponzi Scheme Funding Racehorse Stable, Limo ServiceA Minnesota couple raised more than $16 million from as many as 200 people, including retirees and relatives, the SEC says.