Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Ex-Morgan Stanley Advisor Pleads Guilty to Money Laundering
By Jeff BermanThe ex-broker took more than $1.5 million from two close relatives who were clients, the prosecutor said.
June 06, 2023
Ex-Edward Jones Rep Fined, Suspended for Texting Client DocsThe former advisor was suspended for 15 months and fined $15,000 by the regulator.
June 06, 2023
Preliminary Hearing Set for LPL Network Firm Employee Charged in Double MurderThe next preliminary hearing for Ramy Fahim will be Aug. 15.
June 05, 2023
SEC's New Cyber Rule Plan Needs Changes, Trade Groups SayThe update to Reg S-P would require firms to notify clients of data breaches.
June 02, 2023
Pretrial Hearing Set for Ex-Broker Charged With Murder of BofA-Merrill ExecAnthony Duwayne Turner's next hearing is scheduled for July 10, the L.A. district attorney's office says.
June 01, 2023
Wells Fargo Advisors Picks Up New Head of National Sales From JPMorganBarry Simmons was most recently a managing director and head of J.P. Morgan Wealth Management's East Division.
May 31, 2023
Atria BD Adds Former Signature Bank Advisors With $1BThe three-person team joins a branch of Cadaret Grant in New York.
May 31, 2023
Here's How FINRA Spent $48M of Fine MoneyThe regulator spent an additional $63.3 million on "fines-eligible expenditures," it said.