Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
U.S. Bank Names New Head of Private Wealth
By Janet LevauxVeteran wirehouse executive Beth Lawlor comes to the unit with more than 20 years of industry experience.
June 19, 2020
RBC Wealth Adds $2B Reps From Wells Fargo, UBS and Other FirmsThe firm is picking up advisors in New York, Pennsylvania, New Jersey, Virginia and Maryland.
June 18, 2020
Steward Adds $1.2B Team From Advisor GroupThe St. Louis-based wealth team also is the first to join Steward via its 1099 affiliation model.
June 18, 2020
CCO Hit by FINRA for Business Email InfractionsThe FINRA actions shows the importance of retaining electronic communications, Eversheds Sutherland attorneys write.
June 18, 2020
LPL Gives Advisors More Tech-Based Help ServicesSeparately, LaSalle St. rolls out a fund and annuity help desk, so advisors can service clients' "held away" assets.
June 18, 2020
FINRA Moves Ahead on New Exam Cheating RulesFINRA is also overhauling its enforcement technology platform.
June 15, 2020
SEC Chief Urges Caution on Rollovers Under Reg BIIn particular, advisors must be mindful of relaxed withdrawal rules in the CARES Act, Chairman Jay Clayton says.
June 15, 2020
FINRA Enables Reporting of Reg BI-Related Customer ComplaintsStarting July 18, firms will be able to use two new "problem codes" to report customer complaint information.