Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
HSBC, Scotia Capital Hit With SEC Text Message Fines
By Melanie WaddellBoth firms admitted their employees often communicated about securities business using platforms like WhatsApp.
May 09, 2023
F&G Explains Registered Index-Linked Annuity Launch StrategyChris Blunt says it's all about the distribution channels.
May 05, 2023
What's Next for First Republic Advisors & JPMorgan?Will JPMorgan "roll out the red carpet?" If not, more advisors may leave, Tim Welsh says.
May 05, 2023
How Broker-Dealers Are Evolving: PershingAn emerging generation of clients wants less personal interaction and favors data insights, push messaging and simplified decision-making.
May 05, 2023
What the Broker-Dealer Industry Looks Like Now, in 5 ChartsThe number of registered reps increased for the first time since 2015.
May 05, 2023
Oppenheimer Ordered to Pay Another $14M Over Ponzi SchemeA FINRA arb panel ruled against Oppenheimer for a third time after clients were steered to invest in a sketchy fund.
May 04, 2023
Merrill to Pay $1.4M Over Cold CallingAdvisor trainees called numbers on do-not-call lists, according to New Hampshire regulators and FINRA.
May 04, 2023
Snappy Kraken Unveils Digital Marketing Service: Tech RoundupAlso, Interactive Brokers has launched a new direct-indexing solution RIAs can use to personalize client portfolios.