Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Amy Webber — Next-Gen Nurturer: The 2017 IA 25
By Emily ZulzCambridge's new CEO credits her early start in the industry as a reason for her passion to support the next generation of independent advisors.
May 23, 2017
A 7-Point Checklist for Advisors to Protect Against CyberattacksFormer Homeland Security Secretary Michael Chertoff offers his recommendations on how financial firms can prevent or limit the impact of an attack.
May 23, 2017
Merrill to Pay Fine Over Trading, Disclosure IssuesMore than 1,000 trades were not executed to get clients the best prices, and investors didn't get compensation info on thousands of trades.
May 22, 2017
LPL Shares Details on 108 Recruited Reps, Newest Partner & Tech WoesThe IBD picked up at least $4.2 billion in assets in Q1'17; earlier this month, its IT network and backup systems went down.
May 19, 2017
College Grads Entering Best Job Market Since Great RecessionThe New York Fed says the unemployment rate for recent college graduates is under 4% and wages have been rising.
May 19, 2017
Top 3 Low-Cost Ways for IBDs to Drive Post-DOL Value to AdvisorsAs broker-dealers await regulatory certainty, "go big or go home" is a false choice for firms that want to do right by their advisors.
May 18, 2017
RBC Nabs $5.5M Morgan Stanley Team; Baird Adds $1.4M Group from UBSMeanwhile, Raymond James and U.S. Trust share the names of their most recent hires.
May 18, 2017
Following WannaCry, SEC Issues Ransomware AlertThe SEC identifies three preventive measures that many firms aren't taking.