Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Wells Fargo Team Joins UBS, Another Goes Indie With Fidelity: Recruiting Roundup
By Janet LevauxOther advisor groups move to Janney, Raymond James, Securities America, Dynasty and Kestra.
March 07, 2018
Top Trends Shaping Advice Industry: FidelityAs the urgency around Labor's fiduciary rule has faded, other concerns weigh more heavily on advisors' minds.
March 06, 2018
Bill Requires FINRA to Foot Unpaid Arb BillsSen. Warren's Compensation for Cheated Investors Act directs FINRA to set up a pool funded by penalties from BDs that will pay unpaid final arbitration awards.
March 05, 2018
LPL Delays Death of BranchNet, but Upgrades New PlatformAs the independent broker-dealer makes a tech switch, its advisors react to how plans are being tweaked.
March 01, 2018
FINRA Plan on Outside Business Activities to Spark 'Much Debate'FINRA floated a rule Wednesday to free broker-dealers of liability for investment advisors' outside business activities.
February 28, 2018
FINRA's Top 5 Fine Categories in 2017While restitution ordered by the Financial Industry Regulatory Authority skyrocketed in 2017, with $66 million ordered repaid to investors — an increase…
February 27, 2018
Florida Advisor Takes Investor Protection Fight to the State LevelSeeing little action in Washington, Michael Zmistowski mobilized his state's FPA chapters.
February 27, 2018
SEC's Peirce Wants 'Finder' Capital Raising RuleAs it stands now, such finders must be registered as broker-dealers, despite the fact that it's not their main job, SEC Commissioner Hester Peirce says.