Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Top 5 Q3 Trends at Merrill Wealth Management
By Jeff BermanRecruiting is strong, and more clients are staying even when advisors leave.
October 13, 2022
Raymond James Picks Up $2.9B Baird TeamReston, Virginia-based Wise Investor Group joined Raymond James & Associates, the firm's employee advisor channel.
October 12, 2022
SEC Votes to Modernize How BDs Can Preserve Electronic RecordsBDs will no longer be required to preserve records exclusively in "write once, read many" format.
October 12, 2022
Ex-RIA Comptroller in Father-Daughter Ponzi Scheme Gets 6-Year SentenceThe former comptroller's father, an ex-Securities America broker, was previously sentenced to 13 years in prison.
October 11, 2022
Goldman Sachs Adds Its First Breakaway RIA, Picking Up $1B Merrill TeamNew RIA Beverly Hills Private Wealth selected Goldman Sachs Advisor Solutions to provide custodial services.
October 10, 2022
Ex-Edward Jones Broker Who Scammed Clients Permanently Blocked From Securities BusinessRonald T. Molo was previously indicted for defrauding three investors out of about $800,000.
October 07, 2022
Ex-Broker Found Guilty of Fraud Related to Murder of ClientKeith Todd Ashley was charged with murder while under investigation in a suspected fraud scheme.
October 07, 2022
One Advisor's Hurricane Ian Story: Over $100K in Damage but Lots of GratitudeA managing partner of an Orlando BD tells ThinkAdvisor that while his property suffered damage, his heart goes out to others who weren't as "lucky."