Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Royal Alliance to Buy Signator From John Hancock
By Janet LevauxThe move means that the independent broker-dealer, which is part of Advisor Group, could double its size.
June 19, 2018
Fi360 Acquires Center for Fiduciary ManagementCFFM offers four flagship products that are widely used among financial advisors.
June 18, 2018
Wells Fargo to Restructure Brokerage Groups: ReportThe wealth group is "reimagining" its business to boost efficiency, a spokesperson said.
June 18, 2018
SEC Chairman Is 'Sick' of How Much Retail Fraud There IsChairman Jay Clayton says that brokers should create a culture that doesn't accept lying — even when the law allows it.
June 18, 2018
LPL's Blockchain Portfolio: Forward Thinking or Foolish?The independent broker-dealer's move is being hotly debated by industry players and observers.
June 18, 2018
FINRA Hearing Panel Bars Rep, Firm for Violating SuspensionWhile on three-month suspension, Miami broker "never stopped his association" with the broker-dealer and with continued soliciting customers, FINRA hearing panel found.
June 15, 2018
LPL, in Surprise Move, Adds Blockchain Strategy to SMA PlatformThe move by the independent broker-dealer is earning it varied reviews by industry insiders Michael Kitces and Tim Welsh.
June 14, 2018
ProEquities Gives Reps New Cyber-Defense ToolsThe broker-dealer's platform was built by Entreda and works across desktops, laptops, smartphones and other devices.