Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Fires Employee Over BLM Clash
By Janet LevauxHe and his wife were videotaped confronting a man, then calling the police, over a Black Lives Matter sign in San Francisco.
June 11, 2020
Why Community Connections Really Matter NowCommunities driven by values and beliefs can give advisors the support they need to elevate both personal and professional pursuits.
June 11, 2020
LPL Rolls Out Succession Planning ProgramAssurance Plan offers advisors a minimum purchase price for a practice, based on a multiple of the advisor's recurring revenue.
June 10, 2020
FINRA Bars Ex-Signator Rep Tied to Woodbridge Ponzi SchemeThe former broker allegedly engaged in more than $1.77 million worth of undisclosed and unapproved transactions.
June 09, 2020
FINRA Mulls Rules on Exam CheatingFINRA's recent exam sweep of firms that are not charging commissions for trades will also be discussed.
June 04, 2020
Advisors Scrambling to Meet Reg BI Compliance DeadlineIndustry execs speculate on what to expect from regulators once the rule goes into effect.
June 04, 2020
Raymond James Debuts Pride Advisors NetworkThe group's formal debut comes about a year after the firm introduced plans for the network at its national advisor conferences.
June 03, 2020
Senate Approves PPP Loan ChangesAmong several changes in the bill is an extension of the payment period to qualify for loan forgiveness.