Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC Issues Updated FAQs on Reg BI, Form CRS
By Melanie WaddellThe FAQs address accredited investors, dual registrants and affiliate relationships.
February 12, 2020
Ameriprise Adds Merrill Team With 3 RepsThe Barbaro, DeMartino & Tucker Group joins the firm in New Jersey with about $194 million in assets.
February 12, 2020
FINRA Seeks to Close '$1 Expungement Case' LoopholeThe regulator would charge a minimum filing fee for expungement cases. But industry attorneys aren't impressed.
February 11, 2020
LPL Nabs $650M Cetera Team With 15 AdvisorsSynergy Wealth Alliance is based near Orlando and plans to double in size every three years.
February 10, 2020
FINRA Issues RMD Alert on Secure Act ChangesThe updated investor alert explains some "tricky" new requirements, specifically if a variable annuity is held in an IRA.
February 10, 2020
Barclays Introduces 10-Year Bear ETNs: Portfolio ProductsAlso, RIA Wedmont launches a tech-enabled private wealth manager platform.
February 07, 2020
Ex-Ameriprise Rep Sentenced to 11 Years Over Ponzi SchemeThe broker met with two of her victims and told them to lie to the FBI, according to prosecutors.
February 07, 2020
Robos Are Now Everywhere, Luring Away Your Future ClientsRobos are becoming better positioned to hook clients earlier in their financial lives, researcher David Goldstone says.