Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Dimon Calls Wells Fargo's Lack of CEO Plan 'Irresponsible'
By Michelle F. Davis and Hannah LevittWells Fargo CEO Tim Sloan's abrupt departure came days after he endured a congressional hearing and public criticism from regulators over the lender's scandals.
May 23, 2019
SEC Sets June 5 Vote on Regulation Best InterestThe SEC may also provide a new interpretation of "solely incidental" advice.
May 23, 2019
Honoring Advisors Who Serve(d): Memorial Day, 2019ThinkAdvisor's yearly compilation highlights the stories of 11 military veterans who also serve in the financial advisory industry.
May 23, 2019
DOL Fiduciary Rule Release Set for DecemberAn earlier release is possible given the SEC's expected timeline on Regulation Best Interest.
May 23, 2019
Raymond James Nabs $1.6B Merrill, Wells Fargo Teams: Recruiting RoundupMeanwhile, four UBS advisors have gone independent with Dynasty Financial Partners, and a wirehouse family team joins LPL Financial.
May 22, 2019
Reminder: CAT Registration Deadline Is ComingThe deadline to register for reporting to the Consolidated Audit Trail is June 27.
May 22, 2019
LPL to Enter Employee ChannelThe firm also plans to boost tech spending, in part to support this move.
May 22, 2019
SEC Urges Advisors to Look Beyond AMLMoney laundering isn't the only suspicious activity advisors need to watch out for, exam chief Pete Driscoll says.