Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
RCS Capital’s Q4 Profits Crash on ARCP Woes
By Janet LevauxThe firm reported a 70% drop in adjusted earnings, even bigger than analysts had expected.
February 23, 2015
Dynasty Adds $800M Team From Morgan StanleyMeanwhile, Raymond James grabs teams from Ameriprise and Baird and a rep from Edward Jones.
February 20, 2015
Stifel Moves to Buy Sterne Agee: ReportsThe reported deal means Stifel could soon top 3,000 total advisors and $200 billion in client assets.
February 19, 2015
FINRA’s 5 Biggest Fine Categories in 2014FINRA fines more than doubled in 2014 even as the regulator filed fewer cases, according to the law firm Sutherland Asbill & Brennan.
February 18, 2015
The Medium Is the Message, When the Subject Is Investor ProtectionThe Committee for the Fiduciary Standard suggests mainstream media have an important role in investor protection, but I wonder if the emphasis is misplaced.
February 18, 2015
Eating our own: How compliance confusion cannibalizes common senseEthical behavior too often goes overboard, and ends up having the opposite effect. Heres how to ensure that doesnt happen.
February 12, 2015
If You Can’t Beat Robo-Advisors, Become OneAutoPilot aims to provide advisors with their own private-labeled automated asset management engine to neutralize the robo-advisor threat.
February 12, 2015
Merrill Lands $1.4B Ex-Morgan Stanley Team, AdvisorMeanwhile, LPL-affiliated Stratos Wealth recruits a former Morgan Stanley team and an ex-Wells Fargo rep.