Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC’s Top 3 Enforcement Priorities
By Bernice NapachStephanie Avakian, co-director of enforcement, said the agency is trying to be more strategic, expanding the use of digital analytics in investigations.
November 09, 2017
Securities America Nabs $1.7B OSJ From National Planning Corp.Two Ladenburg Thalmann-owned BDs have landed billion-dollar groups.
November 08, 2017
American Portfolios Rolls Out New Tech Platform at ConferenceThe independent broker-dealer says HomePort now serves as the base for its proprietary and integrated web services.
November 08, 2017
SEC Creating Searchable Database of Bad BrokersThe site will be particularly valuable for spotting fraudsters who have been stripped of their registrations, SEC Chairman Clayton said.
November 07, 2017
Fired JPMorgan Wealth Manager Gets $1.1MVerdict comes after eight years of delays and appeals; bank lawyers plan to ask judge to set verdict aside.
November 07, 2017
Under Pressure, LPL Cuts Fees on Corporate RIA PlatformThe news comes on the heels of more departures of reps acquired from LPL's purchase of NPH.
November 07, 2017
Wells Fargo Finally Launches Its Robo-Advisory ServiceIntuitive Investor is available for clients with a minimum $10,000 in assets for a fee of 50 basis points.
November 03, 2017
Number of Advisors Going Indie Up 75% Since 2012: SchwabSchwab Advisor Services analyzed SEC registration data to determine the number of advisors who entered the independent space.