Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
The changing insurance climate for brokers
By Jeff KolesarHow a new approach could help brokers make up lost earnings.
July 07, 2015
Raymond James Grabs $120M Team From MerrillThe two female financial advisors go independent with the firm in Utah.
July 02, 2015
New Hire Roundup: Merrill Adds Teams From Barclays, UBSIn addition, Intellectus joins Dynasty and Independent Financial Partners names Ned Van Riper as recruiting director.
July 02, 2015
SEC Enforcement: AlphaBridge Capital, Deloitte & Touche ChargedSEC charged a hedge fund with a fraudulent fund valuation scheme; Deloitte & Touche hit with violating auditor independence rules.
July 01, 2015
Focus Financial Adds $1B RIA in ChicagoAlso, Raymond James adds a $390 million independent-employee group in Beaufort, S.C., from Wells Fargo.
July 01, 2015
SEC: Ex-Broker Sold Clients Fake CDs With 12% InterestFormer advisor Malcolm Segal is accused of a $15.5 million Ponzi scheme involving bank CDs some real and some nonexistent.
June 30, 2015
Merrill Adds $750M Ex-Barclays Group in HoustonThe group was part of Lehman Brothers until 2008.
June 29, 2015
LPL Names Former E-Trade Exec CFOLPL Financial has hired former E-Trade Chief Financial Officer Matthew Audette as its new CFO. Audette will report directly to LPL Chairman and CEO Mark…