Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Reg BI Compliance Requires 'Tailored' Policies and Procedures: SEC
By Melanie WaddellGive registered reps specific examples of how to accomplish Reg BI's requirements, the SEC's Asset Management director suggests.
September 27, 2021
FINRA Dings Ex-UBS Rep for Failing to Repay Promissory NotesThe wirehouse had alleged its former advisor failed to repay more than $540,000 when he resigned.
September 27, 2021
Barred Broker With 37 Client Complaints Hit With SEC Fraud ChargesMichael Shillin is accused of deceiving more than 100 clients on matters including insurance, pre-IPO shares, taxes and retirement accounts.
September 24, 2021
This Top Raymond James Annuity Broker Runs a Record Label, Too"I should make an album: "Music for Emailing,'" jokes advisor Jeffrey Oster, who plays trumpet and flugelhorn.
September 24, 2021
Ex-Broker Gets 35 Years in Prison for $25M Scam Targeting SeniorsThe ex-rep and his co-conspirators sold speculative securities and pocketed much of the proceeds, prosecutors said.
September 24, 2021
Trendspotter: Wirehouse Rep Decline Shows No Signs of StoppingFor advisors, the alternatives to Merrill, Morgan Stanley, UBS and Wells Fargo grow ever more compelling.
September 23, 2021
Advisors Expect M&A Surge in Next 12 Months: NationwideAdvisors "are more bullish about M&A than we've seen in years," Nationwide's Craig Hawley says.
September 23, 2021
18 Quality Stocks That Took a Beating This SummerThese stocks look undervalued to Morningstar analysts