Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
JPMorgan Blames Ex-Private Banking Chief for Epstein Ties, Demands 8 Years of Pay
By Hannah Levitt, Ava Benny-Morrison and Max AbelsonThe bank is demanding Jes Staley hand over all compensation from 2006 through 2013 — a figure surpassing $80 million.
March 06, 2023
Twin Advisors Defrauded 60 Clients, SEC SaysThe advisors charged higher fees than clients had agreed to, according to the SEC.
March 06, 2023
LPL Picks Up $1.45B Advisor Team From Wells FargoCarnegie Private Wealth is the 29th team to join LPL Strategic Wealth Services since it launched in April 2020.
March 03, 2023
SEC Charges Father-Son Advisory Team With FraudThe duo allegedly impersonated clients in phone calls to their former firm, Waddell & Reed, to execute transactions.
March 02, 2023
How Raymond James Is Cultivating Black Advisor TalentAfter holding its ninth symposium for Black advisors, the firm says it's zeroing in on colleges and universities.
March 01, 2023
Ex-Vanguard Broker Charged With Killing Girlfriend Is Suspended by CFP BoardJohn Poulos of Texas was charged with femicide and obstruction of justice in Bogota, Colombia.
February 28, 2023
12 Best & Worst Broker-Dealers: Q4 Earnings, 2022One large BD saw profits drop over 65% from a year ago, while another produced a jump of nearly 200%.
February 28, 2023
Merrill Names New Private Wealth HeadLindsay Hans will succeed Don Plaus as head of the firm's Private Wealth Management, International and Institutional.