Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
J.P. Morgan Rolls Out Digital Money Coach, Remote Advice
By Janet LevauxThe bank's Personal Advisors unit has over 200 financial professionals who can be reached remotely and via eight locations nationwide.
December 06, 2022
Next Pretrial Hearing Set for LPL Network Firm Employee Charged in Double MurderThe next hearing for Ramy Fahim has been scheduled for Feb. 10.
December 05, 2022
SEC Risk Alert Highlights Firms' Identity Theft FailuresThe agency found violations that could leave customers vulnerable to identity theft and financial loss.
December 02, 2022
Black Ex-Merrill Reps Dismiss Discrimination SuitTwo ex-brokers had alleged that African American advisors were paid less and promoted less often than white advisors.
December 01, 2022
Barred Broker Ordered to Pay $5.7M Over Cancer Treatment SchemeA three-member FINRA arb panel ruled against the former broker.
November 29, 2022
Atria Adds Former LPL Exec to Push Indie Growth StrategyBill Morrissey will support the firm's "next stage" and will lead the roughly 1,500 advisors in Atria's independent channel.
November 29, 2022
SEC Bars Ex-LPL Rep Who Pleaded Guilty to Witness TamperingFINRA already barred the ex-broker, who also pleaded guilty to fraud and identity theft last year.
November 29, 2022
Fidelity Rolls Out Access to Retail Crypto TradingThe company has started emailing invitations to eligible investors who signed up for an early-access list.