Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Pretrial Hearing Set for Ex-Broker Charged With Murder of BofA-Merrill Exec
By Jeff BermanAnthony Duwayne Turner's next hearing is scheduled for July 10, the L.A. district attorney's office says.
May 31, 2023
Here's How FINRA Spent $48M of Fine MoneyThe regulator spent an additional $63.3 million on "fines-eligible expenditures," it said.
May 30, 2023
JPMorgan Builds Unit for the Super RichThe unit, called 23 Wall, doesn't have a minimum wealth threshold, but it clearly caters to the richest 0.01%.
May 25, 2023
JPMorgan Jettisons 1,000 First Republic EmployeesThe biggest U.S. bank on Thursday offered full-time or transitional roles to almost 85% of the nearly 7,000 employees
May 25, 2023
Ex-Edward Jones Rep Sentenced to 2 Years in Prison for Scamming ClientsThe former broker took nearly $800,000 from clients, prosecutors said.
May 24, 2023
Atria Division Signs Wealth Management Deal With Harvard Credit UnionCUSO Financial Services will provide tools including a portal and app.
May 23, 2023
Best & Worst Broker-Dealers: Q1 Earnings, 2023Seven firms posted positive results in the quarter, which ended with the failure of Silicon Valley Bank.
May 22, 2023
Wells Fargo Rep Made His Friend a Client's Beneficiary: FINRAThe regulator has suspended the broker for 45 days and fined him $5,000.