Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
BD Crypto Communications Not Up to Snuff: FINRA
By Melanie WaddellA report found that 70% of retail communications potentially violate a rule on fair and balanced interactions.
January 19, 2024
JPMorgan Lifts CEO Jamie Dimon's Pay to $36M for 2023The bank had a record profit of $49.6 billion last year, boosted by interest rate hikes and its purchase of First Republic Bank.
January 18, 2024
Ex-Citi Advisor Charged With Fraud in Film Investment SchemeHelen Caldwell solicited clients to invest in her movie projects and spent their money on herself, prosecutors say.
January 18, 2024
Osaic Added $22B in Assets in 2023While that's down sharply from 2022, the firm plans to add $108 billion from the Lincoln acquisition.
January 17, 2024
JPMorgan to Hire This Year on Wealth, Dealmaking RevivalUnlike some rivals, "the number of people we employ has been growing and not shrinking," said President Daniel Pinto.
January 16, 2024
Goldman Sachs' Wealth, Stock Trading Groups Drive Jump in ProfitsIn the fourth quarter, the bank posted a $349 million gain from the sale of the former United Capital business.
January 16, 2024
JPMorgan to Pay $18M Over Whistleblower ViolationsInvestor clients were asked to sign agreements and not report potential securities law violations to the SEC.
January 12, 2024
Citi to Cut 20,000 JobsIn all, Citigroup's firmwide headcount is set to decline by 60,000 jobs to 180,000 by the end of 2026.