Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
UBS Q4 Results Miss Mark, Despite Boost in Wealth Unit
By Janet LevauxThe advisors in the Americas average yearly fees and commissions rose 8% from 2017.
January 22, 2019
BlackRock's Data Leak Hits 20,000 Advisors, Most With LPLThe ETF provider says the accidental disclosures did not include any details about investor clients and "no sensitive personal or financial information" about advisors.
January 22, 2019
FINRA Releases 2019 Exam PrioritiesThe annual letter highlights ongoing issues like cybersecurity along with some new areas of focus.
January 18, 2019
Broker Barred for Concealing Commissions From Native American Tribe: EnforcementMeanwhile, a firm principal was barred for falsely claiming the firm had enough assets to register with the SEC.
January 17, 2019
'Visionary' Bogle Gave SEC a Warning About Reg BI"Ideas are a dime a dozen," Bogle told SEC Chairman Jay Clayton. "Implementation is everything."
January 15, 2019
Wells Fargo, Advisor Headcount Still in Trouble: Q4 EarningsThe bank will limit asset growth in 2019; meanwhile, another San Francisco-based wealth firm tells a rosier story.
January 14, 2019
DOL Rollover Guidance Expected After SEC Releases Reg BILabor will need to clarify what constitutes fiduciary advice and when brokers need exemptive relief, Stradley lawyers write.
January 14, 2019
RIA M&A Deals Set Record High (Again) in 2018: Echelon PartnersA total 181 deals were completed — a sixth consecutive annual high, the firm reports.