Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
New SEC Risk Alert Warns of T+1 Transition
By Melanie WaddellExaminers will review whether and how RIAs have evaluated the impact of the settlement cycle change on their businesses.
March 25, 2024
Bank of America Overhauls Mobile AppThe updated app provides a new platform that consolidates five BofA apps, including banking and investing.
March 25, 2024
Morgan Stanley to Pay $3M in FINRA Arbitration Over Deferred CompAmounts of deferred compensation to be paid to former advisors range from about $70,000 to more than $600,000.
March 21, 2024
Best & Worst Full-Service Wealth Management Firms Ranked by Investors — J.D. Power, 2024Overall investor satisfaction is up, but affluent millennials are getting antsy, the annual survey found.
March 20, 2024
LPL Merges Two Investment Management ProgramsLPL's Strategic Asset Management program is no longer a wrap-fee program.
March 19, 2024
Raymond James Taps Next CEOCFO Paul Shoukry was immediately named president and will become CEO in fiscal 2025.
March 18, 2024
Cambridge Says It's Under FINRA Review, Plans $500,000 RestitutionThe firm's procedures for providing fee waivers, rebates and discounts through rights of reinstatement are under scrutiny.
March 15, 2024
Advisor Accuses LPL of 'Raiding' His Firm in RetaliationThe wealth manager alleges that LPL retaliated after he started looking for another broker-dealer.