Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FPA Rolls Out Group Health Insurance for Members in Most States
By Janet LevauxThe plan is generally available for advisors with two to 50 employees.
August 08, 2019
Ex-Woodbridge Group CEO Pleads Guilty in $1.3B Ponzi SchemeRobert Shapiro faces 25 years in prison for fraud that affected more than 7,000 investors.
August 08, 2019
FINRA Launches Reg BI Webpage, Plans WorkshopsThe BD regulator is also urging broker-dealers to submit questions to the SEC about Reg BI and Form CRS.
August 08, 2019
Stifel, LPL Nab Wirehouse Reps: Recruiting RoundupMeanwhile, Carson Group welcomes an eight-member team in Northern California.
August 02, 2019
LPL Buys Employee-Advisor Group in FloridaFlorida-based Allen & Co. has 33 financial advisors and about $3 billion of client assets.
August 02, 2019
Top 10 Most Influential Financial Advisors of 2019: InvestopediaThese are the most engaged, influential and educational advisors in the U.S., according to the investing site.
August 02, 2019
New York State Implements Best-Interest Standard for Annuity SalesExpected next year: a New York state fiduciary rule for securities sales.
August 01, 2019
SEC Hits Commonwealth for Failure to Disclose Revenue Sharing ConflictsThe regulator alleges the IBD breached its fiduciary duty by not disclosing $100 million obtained via a revenue-sharing deal tied to mutual funds.