Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Clearing, Trading Most Popular Uses for Fintech by Advisors: Survey
By Jeff BermanISS Market Intelligence looks at the fintech providers advisors use most.
June 29, 2023
Fired Rep Says Wells Fargo Added Fake Investigations to His U5: LawsuitA Black advisor alleges Wells fired him, then amended his Form U5 when he reported discrimination.
June 28, 2023
42 Dropped Cases, 48 Lifted Bars, One Big 'Disaster': SEC RoundupA breach in the SEC's in-house judicial system highlights a major underlying problem, two attorneys say.
June 28, 2023
Ex-Merrill Rep Who Threw Smoothie Hit With FINRA Complaint on Cash TransactionsJames Iannazzo deposited and withdrew $568,440 in small increments to avoid bank reporting requirements, FINRA says.
June 28, 2023
Here's What a 'Trusted Contact' Is, and Isn't: FINRA ExecMany investors mistakenly think a trusted contact can trade in their account, Jim Wrona says.
June 28, 2023
Fired Wells Fargo Brokers File Age, Race Discrimination SuitThe plaintiffs alleged that they were fired for being white and in their 60s.
June 27, 2023
UBS Plans to Cut Over Half of Credit Suisse WorkforceBankers, traders and support staff in Credit Suisse's investment bank in several locations should likely bear the brunt of the cuts.
June 27, 2023
New Advisors in Short Supply as 72% of Trainees Fail: CerulliNew research from Cerulli says that firms must work on developing sustainable talent pipelines to combat high attrition.