Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Sigma Financial Owner Has a New Name
By Jeff BermanThe wealth management firm also announced the appointment of Rob Engle as chief revenue officer.
October 09, 2023
Ex-LPL Broker Sentenced to 15 Years in Prison for Stealing $1.3M From ClientPatrick Noel Thayer was convicted of defrauding a client and raiding her investment proceeds.
October 06, 2023
Goldman Set to Start Work on $500M Texas CampusThe investment bank's move is part of Dallas's emergence as a destination for the Wall Street diaspora.
October 06, 2023
900 Individuals Returned to Industry Using FINRA Continuing Ed ProgramThe Maintaining Qualifications Program is open for enrollment until Dec. 31.
October 05, 2023
Goldman's Create-Your-Own ETF Hub for Clients Debuts First FundsThe consulting service is the first of its kind among the large Wall Street banks.
October 05, 2023
FPA Rolls Out Membership Program for Ameriprise-Affiliated AdvisorsThe program includes a group discount on FPA's dues for Ameriprise's network of independent advisor practices.
October 04, 2023
Cetera Picks Up More Funding From Major InvestorThe news comes a month after Cetera said it was buying Avantax.
October 04, 2023
Final DOL Independent Contractor Rule Lands at OMBThe Financial Services Institute has maintained that DOL's new rule should be withdrawn.