Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
AR Capital to Stop New Issues, Cetera Suspends Related Product Sales
By Janet LevauxAtmosphere at Schorsch-founded entities continues to deteriorate days after regulators announced a fraud investigation of RCS Capital.
November 12, 2015
Cybersecurity: A Checklist for AdvisorsFinancial advisors know all too well that they need to protect their business from cyberattacks, but the problem may be bigger than many imagine.
November 12, 2015
RCS Capital Charged With Proxy-Voting Fraud; NYSE May Dump StockMassachusetts regulators say RCS Capital employees impersonated shareholders and voted for a proposed deal with Apollo.
November 12, 2015
Stock Jocks Get Their Knocks at BDsThe number of transactional representatives will shrink further as their risk versus reward to BDs no longer supports their businessand compliancemodels, Jon Henschen writes.
November 11, 2015
How Health Care Will Crush the 80% Income Replacement Idea in RetirementRetirees planning to replace 80% to 85% of their income may fall short once health care is factored in, HealthView Services warns.
November 11, 2015
Recruiting Roundup: UBS Adds $2B Advisors as Merrill Picks Up $1B RepsMeanwhile, Morgan Stanley and Raymond James share their recruiting news, and a group breaks away to work with Dynasty.
November 11, 2015
BrokerCheck Can Help Predict Investor Harm, FINRA Study FindsThe BrokerCheck database is a significant predictor of brokers who may ultimately do investors wrong, two FINRA chief economists say.
November 10, 2015
Caveat Empty: Most Clients Don’t Understand the Brokerage BusinessThe principle of caveat emptor went out the window when brokers started using the moniker advisor to evade the 40 Act standard.