Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Are 7% of Brokers Really Behaving Badly?
By Janet LevauxA recent study found 7.7% of brokers had a record of misconduct over a 10-year period. But not everyone thinks the study holds up.
March 03, 2016
FINRA Mulls Crackdown on Arb Award DeadbeatsFINRA members "are barred" if they dont pay, Ketchum told a Senate panel. However, if firms go broke or leave FINRA, the regulator loses jurisdiction.
March 02, 2016
LPL Affiliate Launching Women’s Advisory CouncilIndependent Financial Partners plans to host at least eight female reps this week near Tampa.
March 02, 2016
If Broker Arbitration Is Good for Investors, Why Is It Mandatory?FINRA and its member broker-dealers inherently have a massive PR problemone that isnt going to go away with some lipstick and a bit of makeup.
March 01, 2016
Fiduciary Debate 2016: A Watershed YearA January paper released by the Institute for the Fiduciary Standard detailed regulatory and fiduciary issues on the table in 2016, among them, the SEC's fiduciary standard for brokers.
March 01, 2016
How to Avoid Manager AbsenteeismIn Jim Collins book Good to Great, he presents a concept he calls the Flywheel Effect.
March 01, 2016
LPL Expects to Launch Robo-Advisor This YearLPL is also casting a wide net to attract advisors, including those who want to simultaneously sell their business.
February 26, 2016
RCS Capital, Cetera Sue Lightyear Over Poaching, Harm to Advisor BusinessThe case involves executives like Valerie Brown, formerly with AIG Advisor Group, which is being bought by Lightyear.