Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Citizens CEO Plots a Continued Expansion of Wealth Businesses
By Paige SmithSince last year, the bank has hired some 220 private bank employees and Morgan Stanley wealth veteran Paul Casey.
May 31, 2024
FINRA's New Home Office Rules Are Causing Headaches for BDsRegulatory attorney Russell Sacks chronicles the compliance challenges as the residential supervisory location rule takes effect.
May 30, 2024
Here's What Makes a Rep High Risk: FINRAThere are several warning signs and ever-evolving methods of spotting them, according to FINRA officials.
May 29, 2024
FINRA Fines Thrivent $325K Over Forged E-SignaturesAt least 15 Thrivent reps electronically signed customer names on over 260 documents since 2017, FINRA says.
May 24, 2024
JPMorgan to Pay Another $100M for Failing to Monitor OrdersThe bank failed to monitor billions of client orders between 2014 and 2021, the CFTC says.
May 24, 2024
Raymond James Taps New CFO as Leadership Shuffle ContinuesButch Oorlog will replace CEO-in-waiting Paul Shoukry; Bella Allaire also has a new role.
May 24, 2024
FINRA Suspends Rep for Violating Reg BI With L Bond SalesThe rep told a client to invest a large share of her assets in a speculative debt security, FINRA says.
May 23, 2024
FINRA Seeks to Ease Worries on New Home Office RulesSome BDs are incorrectly saying their workers will be required to return to the office full time, FINRA says.