Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL to Distribute Prosperity Life Indexed Annuity
By Allison BellOne of the indexes is designed to perform well when inflation runs high.
November 09, 2023
JPMorgan Is Working With Regulators on Generative AI ProjectsThe bank has applied to trademark IndexGPT, a pilot program that aims to offer investment advice to customers.
November 08, 2023
Baird to Pay $519K Over Excessive Mutual Fund Sales ChargesCustomers didn't receive sales charge waivers and fee rebates to which they were entitled.
November 08, 2023
Citigroup to Pay $25.9M for Armenian-American DiscriminationFrom 2015 to 2021, it singled out credit card applicants suspected of being of Armenian descent based on their surnames.
November 02, 2023
Pittsburgh Advisor Is Running for a CauseWill Hoffman is racing in Sunday's NYC Marathon to raise awareness and research funds to fight neurofibromatosis.
November 02, 2023
Raymond James Names New Head of Indie Advisor UnitShannon Reid (right) will take the reins from Jodi Perry on Jan. 1.
October 31, 2023
Growth of Indie RIAs Rolls On: CerulliAs more advisors move into it, the RIA channel is poised to control nearly one-third of industry assets by 2027.
October 31, 2023
Buy These Stocks After Rout: JPMorgan's KellyThe latest leg down in stocks and a solid earnings season give investors an opening, says the global market strategist.