Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Sen. Warren: DOL Fiduciary Rule That Copies Reg BI Is a 'Costly Mistake'
By Melanie WaddellWarren warned Labor Secretary Eugene Scalia not to propose a weak rule.
December 11, 2019
Ex-NFL, Ohio State Players Tackle New Advisor RolesOne former football player has gone independent after time with Merrill, while another is joining the firm that manages his money.
December 09, 2019
Another Broker Impersonated Clients … 6 of Them. FINRA Wasn't Pleased.FINRA suspended and fined the former Investacorp rep after he impersonated customers in calls to Nationwide.
December 09, 2019
Troubled Atlanta BD Shuts DownThe news comes four months after it had "substantial losses" from unauthorized bond trades.
December 09, 2019
J.P. Morgan Expands BetaBuilders ETF Line: Portfolio ProductsAlso, Avantis introduces five low-cost mutual funds.
December 06, 2019
Ex-Raymond James Rep Suspended After Violating Trading RulesThe broker made securities transactions in his own account after becoming privy to confidential info, FINRA says.
December 06, 2019
Boffo Year for Markets, but State Fiduciary Regs Loom: SIFMAThe CEO of the securities trade group briefed reporters on a stellar market year and potential new rules.
December 06, 2019
Industry Needs Clarity on Reg BI: SEC CommissionersSEC Commissioner Allison Herren Lee is "staying riveted" on agency FAQs, as they are "early interpretations" and "potential enforcement attempts."