Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Most Wealthy Investors Choose the First Advisor They Meet: Survey
By Michael S. FischerThe most common reason respondents gave for switching advisors was that the relationship was a bad match.
July 13, 2023
Meet the LUMINARIES Class of 2023 FinalistsOur judging panel is reviewing the list, and the winners will be announced Nov. 28 at our New York gala.
July 12, 2023
New Pretrial Hearing Set for Ex-Broker Charged With Murder of BofA-Merrill ExecThe next pretrial conference for Anthony Duwayne Turner, charged with killing Michelle Avan, is scheduled for Aug. 21.
July 12, 2023
SEC Wants BDs to Assess Cash Reserves DailyThe SEC's plan, released Wednesday, would amend the broker-dealer customer protection rule.
July 11, 2023
Days-in-Office Quotas May Backfire: MyVest CEOThe focus should be on mentorship and connection, not forcing a corporate culture, Anton Honikman tells ThinkAdvisor.
July 11, 2023
Raymond James to Pay $13M Over High FeesThe firm agreed to pay $4.5 million in fines to state regulators and to return $8.25 million plus interest to clients.
July 07, 2023
Barred Broker Accused of Bilking Gold Star Families as Army CounselorThe ex-broker is accused of defrauding 24 families; also on Friday, FINRA expelled his former BD.
July 07, 2023
Raymond James to Reorganize Employee Advisor ChannelThe shifts aim to bring more "leadership alignment" to Raymond James & Associates and Alex. Brown, the firm says.