Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Meet the LUMINARIES Class of 2023 Finalists
By Janet LevauxOur judging panel is reviewing the list, and the winners will be announced Nov. 28 at our New York gala.
July 11, 2023
Days-in-Office Quotas May Backfire: MyVest CEOThe focus should be on mentorship and connection, not forcing a corporate culture, Anton Honikman tells ThinkAdvisor.
July 11, 2023
Raymond James to Pay $13M Over High FeesThe firm agreed to pay $4.5 million in fines to state regulators and to return $8.25 million plus interest to clients.
July 07, 2023
Barred Broker Accused of Bilking Gold Star Families as Army CounselorThe ex-broker is accused of defrauding 24 families; also on Friday, FINRA expelled his former BD.
July 07, 2023
Raymond James to Reorganize Employee Advisor ChannelThe shifts aim to bring more "leadership alignment" to Raymond James & Associates and Alex. Brown, the firm says.
July 06, 2023
LPL Veteran Returns to Lead Strategic Business DevelopmentJeremy Holly is back after a two-year stint at SageView Advisory Group.
July 05, 2023
Clearing, Trading Most Popular Uses for Fintech by Advisors: SurveyISS Market Intelligence looks at the fintech providers advisors use most.
July 03, 2023
FINRA Posts $218M Loss for 2022The loss was driven by investment performance, FINRA execs say.