Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Fidelity Launches First Full-Service HSA for Advisors
By Bernice NapachFidelity's HSA for advisors and other financial intermediaries is integrated with Wealthscape, its advisor technology platform.
January 08, 2020
National Planning Corp. Owes Client $2.6MThe client accused a broker of investing her assets in fraudulent and unsuitable vehicles to generate commissions.
January 08, 2020
T3 Events Now Have Code of ConductThe news from Technology Tools for Today comes three months after Ken Fisher was called out for lewd comments at an event.
January 08, 2020
Defunct BD Sues FINRABlackBook Capital and its former president accuse the regulator of bias and libel.
January 07, 2020
Dodd and Frank Say SEC's Reg BI Violates LawThey were among a group of current and former Democratic lawmakers who filed a brief saying the best-interest rule "cannot stand."
January 07, 2020
Business Groups Blast Massachusetts Fiduciary Plan as Comment Period EndsThe proposed rule raises "serious new legal and practical concerns" and should be delayed until after SEC Reg BI is implemented, they said.
January 06, 2020
Janney Added 32 Advisors From Wells Fargo, Merrill and Morgan Stanley in 2019With the wirehouse advisors and 12 other veteran reps, it added some $3.4 billion in assets to its Private Client Group.
January 06, 2020
Horizons Nasdaq-100 Index ETF Strategy Adjusted: Portfolio ProductsAlso, Advicent launches NaviPlan 19.3 financial planning software.