Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Interactive Brokers Notifies 600 Clients of Data Breach
By Melanie WaddellThe breach, disclosed May 16, involved an unauthorized party gaining access to an employee's email account.
May 13, 2024
Creative Planning Joins Fidelity Referral ProgramCEO Peter Mallouk says he expects a third custodian to become "dominant" along with Fidelity and Schwab.
May 10, 2024
Schwab Shuts TD Ameritrade Platforms for GoodThe migration of the remaining 1.8 million TDA accounts will be completed this weekend.
May 10, 2024
JPMorgan Asks Court to Halt Ex-First Republic Advisors' Recruiting Loan FightJPMorgan subsidiaries and 16 advisors are sparring over loans from the defunct bank tied to recruiting bonuses.
May 10, 2024
Merrill Lynch to Pay $825K Over Best Execution IssuesMerrill failed to reasonably supervise equity orders in the firm's electronic systems to ensure they were executed promptly, FINRA said.
May 09, 2024
New FINRA Home Office Rule Resource Goes LiveThe rules around residential supervisory locations, or RSLs, take effect June 1.
May 08, 2024
Osaic Closes Lincoln RIA and BD AcquisitionThe addition expands the wealth management firm's network of seasoned and specialized financial professionals, CEO Jamie Price says.
May 06, 2024
What to Expect From Raymond James' Next CEORaymond James "will not try to mimic what private equity is doing" in the RIA space, CFO Paul Shoukry says.