Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Ex-Intern Waged Smear Campaign Against Raymond James, Suit Alleges
By Dinah Wisenberg BrinPhony email campaigns suggested two employees were convicted rapists with neo-Nazi ties, the firm's defamation suit says.
December 16, 2024
When Disaster Strikes, Raymond James Gets to (Volunteer) WorkEmployees “were literally ripping out [soaked] drywall” after Hurricane Helene, Private Client Group president Tash Elwyn says.
December 12, 2024
Meet the 2024 Luminaries WinnersThe honorees were acknowledged on stage Wednesday at the Fontainebleau Las Vegas.
November 18, 2024
LPL Begins Taking in $60B in Prudential Wealth Advisor AssetsPru plans to shift 2,800 financial professionals to the LPL platform from a Fidelity unit's systems.
November 13, 2024
FINRA Files to Raise Fees Starting in 2025The median large firm would pay an extra $415,000 a year by 2029.
November 08, 2024
Osaic Failed to Supervise Trading in Dead Client's Account: FINRAThe broker-dealer, earlier known as SagePoint, was fined $250,000 for issues with this matter and another account.
November 07, 2024
Cetera Financial Group CEO to RetireAdam Antoniades will remain a board member but is passing the leadership baton to Mike Durbin at year-end.
November 07, 2024
What's at Stake in the Ameriprise-LPL Fight Over Client DataAmeriprise accuses LPL of encouraging recruits to abscond with client data; LPL says Ameriprise aims to restrict competition.