Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Atria BD Adds Former Signature Bank Advisors With $1B
By Jeff BermanThe three-person team joins a branch of Cadaret Grant in New York.
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.
May 19, 2023
What Gorman's Departure Means for Morgan Stanley AdvisorsJames Gorman created a "steady path" for the wealth business, industry pros say. Will his successor follow it?
May 18, 2023
First Command Sues LPL Over Alleged Advisor PoachingThe military-focused firm says LPL recruited three of its advisors and caused them to violate agreements.