Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC Slaps E*Trade for Unregistered Transactions, Issues Risk Alert
By Melanie WaddellSEC says that brokerage subsidiaries of E*Trade engaged in unregistered sales of micro-cap stocks; also issues Risk Alert reminding BDs of unregistered transaction duties.
October 08, 2014
Raymond James Reworks Employee Channel LeadershipThe shifts are announced ahead of its Womens Symposium and investment advisor confab.
October 08, 2014
Best Finance Tweets of the Month: SeptemberOn Sept. 1, Scotland was weighing self-rule, Derek Jeter was ruling baseball and Bill Gross was reigning over PIMCO. A different era, it was.
October 02, 2014
30 Best iPad Apps for Financial AdvisorsHere are advisors' favorite apps for networking, productivity, travel and more, according to ClientWise and its readers.
October 01, 2014
IRI Elects LPL’s Moore Board ChairmanNew IRI Board members include Larry Roth of Cetera, Erica McGinnis of AIG Advisor Group and George Riedel of USIS.
September 29, 2014
SEC's Uniform Fiduciary Rule Could ‘Haunt’ AdvisorsCreating a uniform fiduciary duty rule for brokers and advisors is a deeply flawed concept, Robert Plaze, the former deputy director of the agency's Division of Investment Management, said in September.
September 29, 2014
RCS to Add Girard; Renames IBD GroupRCS Capital has said it is buying independent broker-dealer Girard Securities. The news came right after RCAP said its rapidly growing IBD network will…
September 29, 2014
FINRA Rejects Claim Tied to Departing RepsFINRA arbitrators have rejected a $15 million claim by Charles Schwab against Morgan Stanley.The dispute centered on Schwab's accusations that Morgan Stanley…