Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
BrokerCheck to Show Problem Firms' 'Restricted' Status
By Melanie WaddellStarting June 1, FINRA will label high-risk firms on the site.
May 01, 2023
Stifel Fined $2.5M Over Broker's Shady Trades for Seniors, ChurchStifel allowed a broker to reap excessive fees and commissions for years, Massachusetts regulators say.
May 01, 2023
JPMorgan to Buy First RepublicThe bank will pay the FDIC $10.6 billion and incur $2 billion in related restructuring costs over the next 18 months.
April 28, 2023
Cetera Adds Direct, Custom Indexing to Advisory PlatformThe Manager Program is intended to help advisors address tax management needs.
April 28, 2023
Lawyer Breaks Down SEC's Sweep of Advisors' TextsThe SEC is requiring that firms retain business communications but hasn't defined what that means.
April 27, 2023
12 Best & Worst BD Stocks: Q1, 2023Some broker-dealers and financial firms found themselves caught up in the fallout from Silicon Valley Bank's March collapse.
April 27, 2023
Fidelity Unveils New Digital Experiences For Next-Gen Investors: Tech RoundupAlso, iCapital has introduced structured investments via Envestnet's platform.
April 26, 2023
Branch Offices Lack Policies for Protecting Client Records: SECThis failure has resulted in firms falling victim to cybersecurity and data breaches, according to an SEC risk alert.