Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Meet the Winners: LUMINARIES in Executive Leadership, 2021 — People
By Michael S. Fischer and Emily HolbrookMeet the individuals being honored for their work in executive leadership that is driving the financial industry forward.
October 25, 2021
Janney Nabs Wells Fargo Exec as Recruiting ChiefIn the third quarter, Janney's Private Client Group added the largest number of advisors in a single quarter since 2017.
October 25, 2021
University of Akron to Stage Event for Next-Gen AdvisorsDiversitas, which is run by the university's College of Business, strives to promote diversity and inclusion in financial planning.
October 25, 2021
Ex-LPL Rep Suspended for Making 22 Trades Without Written ConsentThe broker also falsely stated he didn't exercise discretionary trading authority in three compliance questionnaires, FINRA says.
October 25, 2021
Democrats Draw Up Billionaire-Tax Plan as Corporate Hike FadesSenate Finance Committee Chair Ron Wyden plans to unveil a new tax on the unrealized capital gains of the ultra wealthy this week.
October 22, 2021
Kitces: Schwab 'Declaring War on Funds' With Direct Indexing PlatformMichael Kitces' remark touched off a debate among advisors on the pros and cons of direct indexing.
October 22, 2021
Powell: 'I Do Think It's Time to Taper'Although the Fed chairman, is concerned about rising inflation he doesn't think it's time to raise interest rates.
October 22, 2021
FINRA Mulls Update to Complex-Product RulesRules around qualifications for options traders, for instance, pre-date the rise of DIY investing, CEO Cook said.