Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Wells Fargo Mulls Robo-Advisory Offering
By Janet LevauxThe news comes more than five years after BofA rolled out Merrill Edge.
July 14, 2015
Wells Fargo Profits Flat, but Wealth Unit JumpsThe wealth units Q2 results had an 11% rise in profits on higher asset-based fees.
July 14, 2015
Obama doubles down on DOL fiduciary rulePresident Obama on Monday reiterated his administrations intent to implement the Department of Labors proposed fiduciary rule.
July 14, 2015
JPMorgan Profit Beats Analysts’ Estimates as Expenses DropThe bank boosts net income despite a drop in revenue amid sluggish fixed-income trading.
July 14, 2015
Galvin Fines LPL $250K Over False Senior Designation TitlesSince mid-'07, LPL did not establish, maintain, or enforce a procedure to review senior-specific titles for compliance in Massachusetts.
July 10, 2015
Wells Fargo Grabs Morgan Stanley, Merrill Reps as Raymond James Nabs UBS TeamThe four new Wells Fargo advisors come on board with some $900 million in assets; the new RJ group has some $300 million.
July 08, 2015
Regulator Slams Securities America, Advisor Over Alzheimer’s AdThe IBD denies charges that it failed to supervise an advisor and his "grossly deceptive" radio marketing efforts in Massachussetts.
July 07, 2015
The changing insurance climate for brokersHow a new approach could help brokers make up lost earnings.