Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Posts Higher Q2 Earnings, Flat Revenue
By Janet LevauxThe IBD had lower regulatory costs, but sales commissions slowed in the three months ending June 30.
August 04, 2015
FINRA BrokerCheck Plan Gets More FlakThe IBD lobby wants clarity for indie reps, while NASAA wants the rule to include email signatures.
August 03, 2015
FINRA Fines Aegis $950,000, Suspends Top ExecsThe charges are linked to unregistered penny stocks, sold by groups based in Turks & Caicos.
July 31, 2015
1 in 10 Advisors Have Never Heard of Robos: SurveyA survey from Jefferson National identifies some misperceptions the industry has about robo-advisors.
July 31, 2015
‘Dissident’ Candidate Elected to FINRA BoardBrian Kovack campaigned on the need to reform FINRA's arbitration process, exams and registration disclosures.
July 30, 2015
Cetera Shuttering Broker-Dealer, Pushing Out Some RepsRecruiter says about half of the J.P. Turner advisors have been invited to join Summit Brokerage.
July 30, 2015
Most Advisors See Little Effect From New Fiduciary Rules, Survey FindsBut, expert asks, do reps really understand what they will need to do to fully monitor and manage investment suitability?