Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Top Women in WealthTech for 2020
By Janet LevauxThis is the second year of our recognition program, which highlights the careers of 15 female leaders of innovation.
January 22, 2020
Janney Nabs $335M Team of Women From Morgan StanleyThe Dupre Keating Group includes four advisors and a client associate working in Pennsylvania and Delaware.
January 21, 2020
Lawmakers Scold SEC's Clayton Over Committees' Lack of DiversityMeanwhile, here's what SEC commissioners hope the new asset management advisory committee will focus on.
January 17, 2020
Schwab Clears $4T Mark but Posts Big Drop in Trading RevenueHere's how the end of trading commissions affected Schwab's fourth-quarter earnings.
January 17, 2020
Royal Alliance Fined Over Reps' Theft of $3.8MDespite red flags, two now-barred advisors took the funds via wire transfers and checks to shell companies, FINRA says.
January 16, 2020
Mercer Taps RIA Veteran for New Role, Cetera Promotes Exec: Recruiting RoundupMartine Lellis has 18 years of experience in financial services business, while Connie Gregory has more than 25.
January 15, 2020
The Latest Cyber Risk You Need to Know AboutThis risk is "right now off the charts," an FBI special agent said at a FINRA conference.
January 15, 2020
J.P. Morgan Securities to Pay SEC $1.5M for Share Class ViolationsThe brokerage firm failed to provide retail retirement account and charity customers with sales charge waivers and lower-fee share classes.