Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Pretrial Date Nears for Ex-Broker Accused of Murdering BofA-Merrill Exec
By Dinah Wisenberg BrinAnthony Duwayne Turner faces murder, rape and burglary charges in the 2021 killing of Michelle Avan.
April 04, 2024
Get Ready! FINRA's New Home Office Rules Are Nearly HereThe new rules "will be key in defining ... how firms conduct branch office inspections," says ACA Group's Patrycja Savignano.
April 04, 2024
Best & Worst Firms for Self-Directed Investors: J.D. Power, 2024Satisfaction for DIY investors is flat this year, but it improved for those seeking guidance, which shows the power of personalization.
April 03, 2024
Commonwealth Must Pay SEC $93M Over Revenue SharingCEO Wayne Bloom said the firm is "exploring all options to continue to defend our position."
April 03, 2024
Cambridge Rolls Out 'Personal CFO' Service for Wealthy ClientsThe new service includes cash-flow management, tax planning, wealth protection and more for HNW and UHNW investors.
April 01, 2024
Raymond James Adds $1B RBC Wealth GroupThe three veteran advisors work in the greater Phoenix area.
March 29, 2024
FINRA Hits BD With $250K Fine Over Emails, IMsH2C Securities failed to preserve and review over 1.25 million business-related electronic communications on four platforms.
March 27, 2024
New SEC Risk Alert Warns of T+1 TransitionExaminers will review whether and how RIAs have evaluated the impact of the settlement cycle change on their businesses.