Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
American Portfolios Boosts Offerings: Tech Roundup
By Jeff BermanAlso, Franklin Templeton teams with Apex and Bambu to launch Tango, a turnkey robo-advisor.
December 22, 2020
Senate Passes $2.3T Package of Relief, Funding and Tax BreaksThe move follows passage in the House; President Trump is expected to sign the bill this week.
December 21, 2020
How COVID-19 Is Hurting Workers' Retirement ProspectsDue to the pandemic, 33% of workers have taken a loan and/or withdrawal from qualified retirement accounts, or plan to do so, a new poll finds.
December 21, 2020
LPL's Retention Deals for Waddell & Reed Reps 'More Than Generous': RecruiterPackages of 30 to 50% of prior year's fees and commissions are likely to entice many advisors to remain with LPL Financial.
December 21, 2020
Transamerica to Pay $8.8M Over Annuity, Fund & 529 Supervisory FailuresThe problems at Transamerica Financial Advisors affected 2,400 clients of variable annuities, mutual funds and college savings plans.
December 18, 2020
Cetera Hit With $1M Fine Tied to Dually Registered RepsFINRA says supervisory systems and processes were lacking for the reps, who managed over $80 billion in client assets.
December 17, 2020
Top News That Shook Up the Advisory Industry in 2020A look back at the year's biggest deals and VIP developments affecting firms that serve financial advisors.
December 17, 2020
Raymond James to Buy Boutique Investment BankThe firm seeks to capitalize on "significant shifts" taking place in the consumer and retail industries, says its investment banking chief.