Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Stifel Nabs 6 Reps From Wells Fargo, Merrill
By Marlene SatterThe new advisors managed nearly $575 million in client assets.
May 20, 2019
Advisors on ESG Investing: We Need Better Data"Advisors may be slow to recognize an important investment trend" thanks in part to an information gap, Natixis reports.
May 17, 2019
Reg BI Is Epic Moment for Brokerage Industry: FINRA's Legal ChiefWith Reg BI, the SEC is "trying to save the broker-dealer business as we know it," said FINRA's chief legal officer.
May 17, 2019
Clearing, Custody Firms Now Tied With Wirehouses for Market Share: AiteRIAs and other advisors served by outside custodians are ascendant; wirehouses are not.
May 16, 2019
FINRA Bad Broker Rule Would Hit Less Than 2% of FirmsThe new rule proposal identifies firms "that have a cluster of brokers with a high level of misconduct," FINRA's Cook said.
May 16, 2019
Ladenburg Rolling Out New Tax App for Indie AdvisorsThe network of independent broker-dealers aims to help advisors and clients with 1099-related processes.
May 14, 2019
Wall Street Loses $25 Billion to One Firm as Advisors FleeDynasty CEO Shirl Penney sees a "hot summer" ahead for breakaways.
May 14, 2019
FINRA Aims to Simplify Its Digital Interactions With FirmsThe transformation is to be implemented in stages through 2022 and is focused on six areas.