Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
How LPL Is Giving Advisors the 'Muscle' to Grow: Executive
By Jeff Berman"Advisors who use one of our services are growing on average 28% faster than peers," Aneri Jambusaria says.
April 12, 2023
8 Financial Managers Indicted in $72M SchemeThe defendants scammed at least 200 clients, according to prosecutors.
April 11, 2023
RBC Picks Up $1B First Republic TeamRBC's reputation of financial strength and dedication to supporting advisors were reasons cited for the move.
April 07, 2023
Advisor Group Says It's Considering New NameThe BD group is said to be weighing its options ahead of a possible IPO.
April 06, 2023
FINRA Tightens Work-From-Home Rule Plan for BrokersFINRA tightened eligibility rules after industry pushback.
April 06, 2023
Goldman Fined $3M for Marking 60M Short Sales as LongFINRA said the bank had failed to set up systems to comply with trade-reporting rules that it allegedly broke.
April 05, 2023
Ex-Broker Gets 4-Year Prison Sentence for $2.5M Tax EvasionJames Millegan, 65, started at Lehman Brothers in 1983 and launched his own commission based broker-dealer in 1996.
April 04, 2023
Next Hearing Set for Ex-Broker Charged With Murder of BofA-Merrill ExecAnthony Duwayne Turner's next court appearance for the killing of Michelle Avan in 2021 will take place on May 8.