Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
JPMorgan Teams With SAP to Enhance Morgan Money: Tech Roundup
By Jeff BermanAlso, RIA in a Box introduces compliance software for private funds.
September 29, 2020
Ex-Ameriprise Rep Sentenced to 4 Years in Prison for FraudThe barred broker also must pay $402,200 in restitution to his elderly and other victims and $125,100 in unpaid taxes.
September 28, 2020
State Securities Regulators See Spike in Unregistered Advisor CasesNearly 30 jurisdictions have enacted rules or legislation based on NASAA's model rule to help prevent financial exploitation of older investors.
September 28, 2020
SEC Sets Date for Reg BI, Form CRS RoundtableSEC and FINRA staff will discuss "initial observations" of compliance with the best-interest rules.
September 25, 2020
Raymond James Reports Big Jumps in Fee-Based Assets, CashThe results were reported a week after the firm announced layoffs of 500 staffers.
September 25, 2020
FINRA Moves Ahead on Expungement ChangesThe changes fill holes in the process, but expungement shouldn't be handled by arbitrators at all, investor lawyers say.
September 24, 2020
13 Highest Paid CEOs in Financial Services: 2020The top leader on this list, a wirehouse executive, earned 550 times the median employee in 2019.
September 24, 2020
Which BDs Are Weakest, Strongest in Bad Markets?When advisors shop for a new broker-dealer, the thought of bear market vulnerability is rarely on their radar — but it should be.