Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
$680M Team Jumps From Morgan Stanley to Stifel
By Ginger SzalaThe news follows Stifel's efforts to recruit teams from Merrill and Wells Fargo across the U.S.
July 16, 2020
Ameriprise Sues Ex-Broker Over $748K FINRA Arb AwardThe rep was terminated by the firm in 2018 has yet to repay his promissory notes, the firm says in the lawsuit.
July 16, 2020
LPL Shares Details on Virtual Focus ConferenceThe annual conference for its indie advisors had been set to take place this month in Chicago.
July 16, 2020
How a Top Raymond James Advisor Runs Her 'Invitation-Only' PracticeMargaret Chow Starner, based in Miami, tells ThinkAdvisor that market crashes are like hurricanes: Her clients "know the drill."
July 14, 2020
Senator Calls for Hearing on New DOL Fiduciary RuleLabor "should consider a tripartite hearing that would also include the SEC," Sen. Patty Murray said.
July 14, 2020
Redtail CEO Joins Riskalyze BoardThe news raises questions about Riskalyze's growth plans and comes soon after the Orion-Brinker tie-up.
July 13, 2020
SEC Issues Ransomware AlertAttempts to penetrate financial institution networks through phishing and ransomware are on the rise.
July 10, 2020
SEC Shakes Off Ex-LPL Rep Over Taylor Swift ScamThe former broker was barred for falsely claiming investor funds would be used to fund a project for the pop singer, regulators said.