Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Time for Advisors to Move Beyond ‘Fintech Fear’: PwC Report
By Janet LevauxWhile most wealth managers fear losing business to fintech companies, fewer than half have put fintech at the center of a digital strategy.
September 19, 2016
Digital Client Onboarding: A Key Step Toward Wealth Management Platform GrowthAite Group describes the increasingly important role of automated client onboarding for financial advisors.
September 16, 2016
Betterment Played Favorites With Clients After Brexit Vote: Massachusetts RegulatorThe regulator is unhappy with the unequal treatment of Betterments retail and institutional clients during the firms trading halt following Brexit.
September 15, 2016
U.K. Official: No Brexit Negotiations This Year; U.S. Groups Want Transition PeriodA British official overseeing trade policy told a SIFMA symposium that the U.K. will definitely not begin the process of exiting the EU before year end.
September 14, 2016
$550M Merrill Team Goes Indie With Dynasty in FloridaAlso, Raymond James and Wells Fargo add several Morgan Stanley reps; Pavilion Financial to buy Jeffrey Slocum & Associates.
September 14, 2016
Cetera to Sell Legend Group to Lincoln InvestmentThe deal affects about 350 advisors, $6 billion in assets and clients who are retired from teaching and other non-profit jobs.
September 14, 2016
FINRA Fines Ameriprise for Rep Who Stole $370K From His FamilyAmeriprise was fined for allegedly failing to exercise reasonable due diligence in supervising the accounts, the regulator said.
September 14, 2016
Stifel to Acquire Indiana-based City FinancialStifel Financial Corp. will acquire City Financial and its wholly owned subsidiary, independent investment bank City Securities.