Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Regulators Charge SII With ‘Unethical’ Conduct Tied to REIT Sales
By Janet LevauxAdvisors' commissions on the sales topped $278,000, according to Massachusetts securities regulator William Galvin.
September 15, 2017
The 2017 Broker-Dealers of the Year Get Real on TechThe broker-dealer leaders discuss which technology systems they can do without.
September 14, 2017
Focus Financial Adds $1.5B RIA in North Carolina: Recruiting RoundupKestra, Dynasty, Securities America, FiNet, Janney, Mercer and RBC announce new advisors and teams.
September 14, 2017
Raymond James Nearly Back to ‘Normal’ After IrmaThe Florida-based firm, which shifted resources out of the area due to Hurricane Irma, pledges to support associates affected by the storm.
September 13, 2017
Fidelity Launches Robo Platform for AdvisorsThe Automated Management Platform allows advisors to seamlessly manage digital accounts alongside more traditional accounts, Fidelity says.
September 13, 2017
What Matters to Reps: 2017 Broker-Dealers of the Year on RecruitingAt the 2017 Broker-Dealers of the Year roundtable in Chicago, we asked the winners to tell us what they were hearing in recruiting meetings.
September 12, 2017
FINRA Fines BD Over ‘Death Puts’The ruling comes one month after an SEC judge dismissed similar claims involving one of C.L. Kings hedge fund clients.
September 12, 2017
Recruiting and the Role of Technology: 2017 Broker-Dealers of the YearAs broker-dealers face increasing consolidation and pricing pressures, technology has emerged as a way for firms to add scale and efficiency.