Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Schwab Settles SEC Suit on Reporting Failure
By Joel RosenblattSchwab was charged with failing to file reports on suspicious transactions by 37 independent investment advisors.
July 02, 2018
Best & Worst BDs for Advisors: J.D. Power — 2018Female advisors show striking differences in satisfaction levels from their male counterparts, the marketing firm finds.
June 29, 2018
SEC Hits the Road to Hear Investors' Thoughts on Best-Interest PlanChairman Jay Clayton will be holding a series of roundtable discussions with investors around the country in July.
June 29, 2018
FINRA Reveals Where Fine Money WentThe regulator outlines, for the first time, project work and other initiatives supported by sanctions.
June 29, 2018
Indie BD Exec Wins Seat on FINRA BoardSecurities America CEO Jim Nagengast, who had the support of the Financial Services Institute, received more votes than Shelley O'Connor, managing director and co-head of Morgan Stanley Wealth Management.
June 28, 2018
Raymond James Says Curtis to Lead Private Client GroupTash Elwyn and Jodi Perry also assume new responsibilities as COO Dennis Zank moves into retirement.
June 28, 2018
Alex. Brown, Securities America & LPL Add Teams: Recruiting RoundupThe Raymond James unit brings on a group from J.P. Morgan Securities.
June 27, 2018
Commonwealth Financial Says President, COO Hunter to DepartCFO Trap Kloman will take on these roles; Kloman joined the RIA in 2015, while Hunter has been with it for some three decades.