Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
DFA Announces Second Leadership Shakeup This Year
By Bernice NapachCo-CEO Eduardo Repetto is leaving; current co-CIO Gerard O'Reilly will replaces him in September.
August 15, 2017
Cetera Appoints New Information OfficerCetera has appointed Michael Ragunas as chief information officer to help the organization develop and implement technology across all its lines of business.
August 15, 2017
LPL Buys 4 NPH Broker-DealersThe $325-million purchase price could rise, depending on how much of the National Planning Holdings advisors' revenue moves to their new parent firm.
August 15, 2017
Brokerage ‘Kickbacks’ From Exchanges Draw ScrutinyWilliam Galvin of Massachusetts has written to Fidelity, Schwab, Morgan Stanley and others asking how they route orders to exchanges.
August 15, 2017
C-Suite Survey Reveals Fear of Regulatory Scrutiny: CippermanFirm execs also worry about their cybersecurity policies.
August 14, 2017
New HealthCare.gov Flexibility Could Ease 2018 Pain: ExecSoftheon is hoping a new web broker access option will speed up the signup process.
August 14, 2017
BMO Wealth Taps New Head of Advisor GroupWallace Harris comes on board in Chicago to lead a staff of 240 with some $12.7 billion in client assets.
August 14, 2017
Saturna Capital Launches Clean Shares for Two Funds: Portfolio ProductsAlso, Carlson Capital Management adds a low-cost DFA Minnesota muni bond fund to its portfolio lineup.