Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
12 Best & Worst Broker-Dealer Stocks of 2022
By Janet LevauxThe stock prices of most publicly traded BDs have fallen in 2022, with several notable exceptions.
December 08, 2022
Next Hearing Set for Suspect in BofA-Merrill Exec's KillingEx-Merrill broker Anthony Duwayne Turner's next hearing is nearly a year and a half after the homicide.
December 07, 2022
J.P. Morgan Rolls Out Digital Money Coach, Remote AdviceThe bank's Personal Advisors unit has over 200 financial professionals who can be reached remotely and via eight locations nationwide.
December 06, 2022
Advisor Group BDs Hit With $1.3M FINRA PenaltyThe firm's BDs "negligently failed" to tell investors that GPB Capital didn't "timely make" required SEC filings tied to private placements.
December 06, 2022
Cetera Keeps First Allied Brand After BD Closure"First Allied remains a community" within Cetera Advisors but is "no longer a separate legal entity," said CEO Adam Antoniades.
December 06, 2022
Next Pretrial Hearing Set for LPL Network Firm Employee Charged in Double MurderThe next hearing for Ramy Fahim has been scheduled for Feb. 10.
December 05, 2022
SEC Risk Alert Highlights Firms' Identity Theft FailuresThe agency found violations that could leave customers vulnerable to identity theft and financial loss.
December 02, 2022
Black Ex-Merrill Reps Dismiss Discrimination SuitTwo ex-brokers had alleged that African American advisors were paid less and promoted less often than white advisors.