Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC Drops New Wave of WhatsApp Fines on BDs, Advisory Firms
By Melanie WaddellBaird and Interactive Brokers are among the firms that agreed to pay penalties.
September 26, 2023
Former Football Star and Morgan Stanley Rep Gets FINRA PenaltyWilliam Donovan Ard, a onetime NFL guard, allegedly mismarked orders and used an unapproved cellphone for client communications.
September 26, 2023
The Seven Deadly Sins of Year-End Financial PlanningThese lapses could tempt your client to forsake you for another advisor.
September 25, 2023
Schwab Call Center Woes Plague RIAs After TD Ameritrade Move"I can tell you the company line from Schwab is very misleading," one advisor said.
September 25, 2023
15 Business Schools Whose Grads Earn the MostEleven of these schools produce business graduates with median mid-career salaries in the six figures, PayScale reports.
September 22, 2023
Cetera Names New Head of Indie Advisor ChannelTom Halloran, Cetera Wealth Partners president, will replace Brett Harrison, who is leaving after over 25 years.
September 22, 2023
SEC Hits Wisconsin BD With Reg BI FineThe firm's policies and procedures contained Reg BI language but weren't tailored to its business, the SEC said.
September 22, 2023
5 Broker Behaviors That Should Raise a Red FlagFINRA is warning investors to be wary of certain behaviors by their brokers that can signal likely misconduct.