Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Financial Services Explained, Pt. 3: The Levels of Independent Advice
By Bob ClarkIn this post in our series, an explanation of the different affiliation models of professional advice-givers, aka advisors.
November 29, 2016
FINRA Fines VALIC $1.75M Over Comp Policies, VA SalesFor three years, reps had incentives to move assets into proprietary products and were not adequately supervised, the regulator says.
November 28, 2016
Trump’s Bank-Reg Rollback Plans May Get Boost From EUThe EU is proposing to soften European bank regulatory rules, which could support Trump's plans to ease bank regulations in the U.S.
November 25, 2016
Raymond James Adds 3 Texas Reps, Shares October ResultsThe firm attracts the independent advisors from rival LPL Financial in different parts of the Lone Star State.
November 23, 2016
LPL Continues Strong Recruiting Drive in Q3A large number of advisors moved to the IBD from Cetera, Wells Fargo and Edward Jones.
November 22, 2016
Wells Fargo Teams Jump Ship: Recruiting RoundupA number of advisors are leaving wirehouse firms at year-end for smaller rivals, greater independence.
November 21, 2016
The Fundamental Things ApplyPresidential contenders often temper their policies once in the Oval Office, a trend were already seeing with Mr. Trump.
November 21, 2016
Is the DOL Fiduciary Rule DOA Under Trump?Just as the industry was ramping up its compliance with the DOL's fiduciary rule, Donald Trump's surprising win could throw its viability into question.