Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Wraps Up $172M Deal
By Janet LevauxThe firm completes purchase of Scout Investments and Reams Asset Management and shares its October results.
November 17, 2017
Wall Street Has New MiFID Migraine, Now in Futures MarketBanks are seeking CFTC relief from added regulatory burdens; futures brokers are concerned that compliance could add costs.
November 17, 2017
Mortgage Lender Charged With Illegal Securities Offering: EnforcementIn other enforcement actions, a fake EDGAR filer pleads guilty to securities fraud charges.
November 16, 2017
Securities America Adds $446M All-Women RIA: Recruiting RoundupMeanwhile, RBC draws teams from Wells Fargo and UBS, and Ameriprise brings on a group from Merrill Lynch.
November 14, 2017
Will More Firms Leave Broker Protocol?After Morgan Stanley's exit, the recruiting scene could shift in a variety of ways, says one industry watcher.
November 14, 2017
Edward Jones Aims High With Bridge Diversity ProgramThe firm is building on its WINGS program for female advisors, according to Monica Giuseffi.
November 13, 2017
10 Finance Books Worth ReadingThe Ritholtz Wealth co-founder and chairman says these names go beyond the classics; several are off the beaten path and very worthwhile.
November 13, 2017
How to Help Clients Manage Their Most Precious AssetsThey are collectibles, which about 25% of wealthy investors own, but many haven't had their collections appraised or insured.