Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Steward Adds Merrill Team in New Hampshire
By Janet LevauxThe partnership, which is associated with Raymond James, announces its latest recruiting news just a week after it opened a branch in Dallas.
March 21, 2019
FINRA's 2019 Budget Points to 'Day of Reckoning' Ahead: Ex-Enforcement ChiefFINRA says it could draw on its reserves to make up for a projected revenue shortfall.
March 21, 2019
Morgan Stanley Loses Advisors to Raymond James, RIA: Recruiting RoundupMeanwhile, Baird adds an advisor from Wells Fargo, and Ameriprise picks up a former LPL Financial affiliated rep.
March 20, 2019
New Law Firm 'Steeped' in SEC, FINRA Cases May Take on College Scam ClientsWhite-collar defense attorney Marc Mukasey announced the official launch of a boutique law firm, Mukasey Frenchman & Sklaroff LLP
March 19, 2019
Raymond James CFO to RetireJeff Julien has been with the independent broker-dealer for 32 years and will remain on the board of Raymond James bank.
March 19, 2019
House Panel to Debate Bill to Require Investor Testing by SECThe bill would require usability testing on the SEC's new disclosure forms before Reg BI is finalized.
March 19, 2019
HD Vest-1st Global Deal: 'The Consolidation Continues'Michael Kitces called the deal "big news, but not at all surprising."
March 19, 2019
FINRA Plans New Rules for Bad BrokersHow to deal with firms and brokers with a lot of black marks on their records has occupied a lot of FINRA board and policy discussions.