Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
New Risk Tool Launched: Tech Roundup
By Jeff BermanAlso, Twenty Over Ten updated its Lead Pilot tool to help advisory businesses improve their inbound marketing efforts.
July 08, 2020
Short DOL Fiduciary Rule Comment Period Faces CriticismThe 30-day comment period is half the typical length.
July 08, 2020
Securities America's Nagengast Renominated to FINRA BoardNagengast, president and CEO of Securities America, has been nominated to serve a second term.
July 07, 2020
Best & Worst BDs for Advisors: J.D. Power — 2020The latest satisfaction survey of more than 3,200 advisors is based on a new set of factors, including professional development and technology.
July 07, 2020
Financial Firms Speeding Tech Adoption Due to Pandemic: SurveyBDs and other financial services firms are accelerating their digital transformations, a new Broadridge study finds.
July 06, 2020
FINRA Slaps Cadaret Grant With $200K Fine Over Ex-Rep's 'Ponzi Scheme'The broker-dealer "failed to reasonably supervise" a broker's many undisclosed securities transactions, the regulator says.
July 02, 2020
Ex-LPL Rep Suspended by FINRA Over Unapproved Soccer Team InvestmentsThe former LPL broker solicited investors for private securities transactions, then tried to hide it from the firm, regulator claims.
July 02, 2020
FINRA Suspends Another Ex-First Standard RepThe former broker of the shuttered BD gets an 11-month suspension for excessive trading.