Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Ex-LPL Broker Faces Up to 20 Years in Prison for Raiding Clients' Annuities
By Jeff BermanThe former broker has been charged with three counts of wire fraud, one count of mail fraud and one count of aggravated identity theft.
June 10, 2021
The Worst Career Advice You've Ever Gotten: Advisors' AdviceNot all career advice is worth following, as several advisors told us.
June 10, 2021
Cetera Wraps Up Purchase of Voya UnitThe unit, now operating as Cetera Wealth Partners, has some $37 billion of assets and 130 new employees.
June 10, 2021
Morgan Stanley Shifts E-Trade Execs to Key Wealth Management RolesThe firm seeks to "leverage the full set of skills and experiences across the organization," says wealth exec Andy Saperstein.
June 09, 2021
SEC Chief Calls for Review of Stock Trading RulesGensler has asked staff for recommendations on best execution, Regulation NMS, payment for order flow and NBBO.
June 09, 2021
Kitces, Pershing CIO: Advisors Should Use Tech to Offer Better Advice"Our industry really is in the midst of just a huge evolutionary shift," Kitces said during Pershing's Insite conference.
June 09, 2021
Interactive Brokers to Offer Cryptocurrency Trading by Summer's EndChairman and CEO Thomas Peterffy made the announcement at a fintech conference on Wednesday.
June 07, 2021
J.P. Morgan Creates Scholarship Program for Black College StudentsThe program, aimed at financial planning students at historically Black colleges and universities, is part of its $30 billion racial equity commitment.