Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Securities America OKs Reps Texting Clients
By Janet LevauxThe independent broker-dealer is working with CellTrust, which also is partnering with Merrill Lynch.
January 12, 2018
JPMorgan’s Quarterly Tax Pain Should Lead to 2018 GainsBank could see earnings balloon by $3.5 billion based on cuts; trading revenue falls 26%, fueled by drop in fixed income.
January 12, 2018
FINRA Plan to Rid BDs of Advisor Liability Would Hit Firms’ Fee RevenueThe plan is a good-news, bad-news story, recruiter Jon Henschen says.
January 12, 2018
FINRA Arbitrator Pool Shows Slow, Steady Increase in DiversityFINRA has greatly stepped up its efforts to recruit more women and minorities as arbitrators in the last two years, new data shows.
January 10, 2018
Cetera Adds $700M Financial Institutions Group: Recruiting RoundupMeanwhile, Alex. Brown welcomes back advisor from RBC who has $180 million in client assets.
January 09, 2018
Raymond James Forms Tampa Bay Complex for Employee RepsThe effort will be led by Doug Brigman and serve about 100 financial advisors in the area.
January 09, 2018
Dimon Says He Regrets Calling Bitcoin a ‘Fraud’JPMorgan CEO said Tuesday he thinks government intervention may eventually hamper Bitcoins growth and acceptance.
January 08, 2018
FINRA Releases Exam Priorities for 2018The regulator also discusses upcoming changes to its exam program and reminds firms of some important dates.