Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Commonwealth Sets Recruiting Record in 2022
By Jeff BermanThe firm onboarded 270 advisors with a record-breaking $11.24 billion in client assets, it says.
February 14, 2023
Next Hearing Set for LPL Network Firm Employee Charged in Double MurderThe next hearing for Ramy Fahim has been scheduled for June 2.
February 13, 2023
FINRA Fines Long Island BD Over Reg BIThis is FINRA's third Reg BI-related enforcement action this year.
February 10, 2023
Ex-Broker Convicted of Aiding ISISRuslan Maratovich Asainov left financial services, traveled to Syria and became a sniper, according to the DOJ.
February 10, 2023
Why Regulation Best Execution Makes Payment for Order Flow Difficult: SEC RoundupNick Morgan and Tom Zaccaro talk with Bloomberg columnist Nir Kaissar about the interaction of two controversial proposals.
February 09, 2023
Latest LPL Service for Advisors: Partial Book SalesAdvisors who need a quick way to reduce the size of their practices can now shift clients to LPL Financial.
February 09, 2023
Cetera Takes Minority Stake in $1.7B FirmThe BD/RIA has made a strategic investment in Overland Park, Kansas-based Prosperity Advisors.
February 07, 2023
SEC Reveals Top Exam Priorities for 2023The new Marketing Rule is one compliance area that tops the list.