Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA: Ex-Advisor Group Broker Lied About CBD Oil Side Hustle
By Jeff BermanThe former broker for Advisor Group's Woodbury Financial allegedly provided false info about her unapproved CBD oil businesses.
January 12, 2023
J.P. Morgan Wealth Unit Launches QuickDeposit: Tech RoundupIn addition, Rose Palazzo was named group president of Envestnet Financial Planning and will lead MoneyGuide operations.
January 10, 2023
Former Broker Pleads Guilty to Filing False Tax ReturnThe ex-broker filed individual income tax returns omitting installment payments related to the sale of his advisory firm.
January 10, 2023
Cetera Picks Up $2.5B RIAPatriot Financial Group, formerly affiliated with Advisor Group's Securities America, has 70-plus advisors in seven states.
January 10, 2023
Ex-Broker Gets Over 5 Years in Prison for $2.9M Securities SchemeThe former broker diverted clients' funds to repay previous investors and for his own use, according to DOJ.
January 06, 2023
10 Expressions That Help You Get What You WantAdvisors face many situations where using the right words is the key to getting the desired result.
January 04, 2023
Morgan Stanley Takes On UHNW Challenges Beyond Tax PlanningThe Family Legacy and Governance Institute is intended to help with "qualitative" planning needs, Glenn Kurlander says.
January 03, 2023
Former Fidelity Broker Wins $500K in Wrongful Termination CaseA FINRA panel also ruled that the ex-broker's Form U5 termination disclosures should be revised.