Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
How to Tell if a Broker Is Selling Unapproved Investments
By Melanie WaddellThe SEC lists signs that a broker may be running a side business offering investments that are not approved for sale.
June 14, 2018
Raymond James Nabs Wells Fargo Reps With $760M: Recruiting RoundupMeanwhile, Kestra adds a team from UBS, and Lightyear-based Wealth Enhancement Group buys Cimino Wealth Advisors.
June 13, 2018
SEC Advice Plan Requires Big Change in Broker Behavior: ClaytonSEC chief responded to questions at agency's first town hall, held in Atlanta.
June 13, 2018
LPL, Massachusetts Reach Deal Tied to $26M Unregistered Securities FineOther states likely will make similar announcements regarding the return of money to investors as part of a nationwide agreement.
June 13, 2018
FSI Backs Securities America's Nagengast for Large Firm FINRA Board SeatCEO Nagengast and Shelley O'Connor, co-head of Morgan Stanley Wealth Management, are running to fill the large firm governor's seat.
June 13, 2018
Tibergien, Seivert Debate 5 Critical M&A Questions for Retiring AdvisorsAdvisors planning to retire have several important choices to make if they want to cash out and have their business continue.
June 12, 2018
SEC Must Clarify Advice Standards or the Courts Will: AARPThe SEC must clearly define the standard of conduct as a fiduciary standard, AARP says.
June 11, 2018
Scottrade's Fiduciary Infractions Violate State Law: GalvinDOL rule or no DOL rule, Scottrade violated its own policies and that's not OK under state law, Galvin's lawyers say.