Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Morgan Stanley Fines Some Staff $1M Over Messaging Breaches
By Joyce Koh and Tom MetcalfIndividual penalties are based on factors like seniority, the number of messages sent and any prior warnings.
January 25, 2023
Cetera to Buy Securian Financial's Wealth UnitThe deal includes 1,000 financial professionals and 30 firms working with a total of $72.2 billion in assets.
January 25, 2023
New Recruits Brought $8.5B to Kestra in 2022The firm added 80 advisors and brokers, many citing Kestra's size as a reason for joining the network.
January 24, 2023
LPL Nabs 2 BofA-Merrill ExecsCory Triolo and Tim Checko will focus on web-based and mobile applications for advisors and other technology.
January 24, 2023
How Secure 2.0 Is Shaping Advice to Clients: Advisors' AdviceThe new law is figuring into planning conversations in a variety of ways, advisors told us.
January 23, 2023
Debate: Should Non-Compete Agreements Be Banned?Our experts share their viewpoints on whether the FTC's proposed ban would be beneficial to companies and workers.
January 20, 2023
JPMorgan Leaves CEO Dimon's Pay at $34.5M for 2022The firm's profits fell by 22% last year and its stock dropped 15%, the worst yearly performance in over a decade.
January 19, 2023
Orion Hires Industry Veteran as New EVP of Sales: Tech RoundupAlso, Fidelity acquired software firm Shoobx; Broadridge extends its digital wealth platform partnership with IGM Financial.