Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Why Regulation Best Execution Makes Payment for Order Flow Difficult: SEC Roundup
By Nick Morgan and Tom ZaccaroNick Morgan and Tom Zaccaro talk with Bloomberg columnist Nir Kaissar about the interaction of two controversial proposals.
February 07, 2023
SEC Reveals Top Exam Priorities for 2023The new Marketing Rule is one compliance area that tops the list.
February 07, 2023
Ex-LPL, Wells Fargo Rep Pleads Guilty to Stealing $600K From ClientsThe now-barred broker used clients' money to fund gambling and personal expenses, according to the Justice Department.
February 06, 2023
Ex-Wells Fargo Advisor Alleged Rape by Co-Worker, Faced Retaliation: LawsuitThe advisor sued Wells Fargo, saying her clients were reassigned after she reported the incident.
February 03, 2023
Cetera Lured Advisors With $13B of Assets in 2022The results represented a record year for Cetera and were up from about $10 billion in 2021.
February 03, 2023
Raymond James, Rep to Pay $20M Over Recruiting 'Raid' on Wells Fargo OfficeRaymond James recruited away the branch office's entire team, resulting in its closure, Wells Fargo Advisors said.
February 01, 2023
Commonwealth Rolls Out Private Wealth Designation ProgramThe CPWA designation is for advisors who want to meet the complex needs of wealthy clients.
January 31, 2023
Gavin Spitzner Dies at 57The Wealth Consulting Partners president had been fighting acute myeloid leukemia since being diagnosed with it in September.