Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Snappy Kraken Delays JOLT Conference: Tech Roundup
By Jeff BermanMeanwhile, the UBS Investment Bank has given new funding to the Lynk AI-driven platform.
September 01, 2021
12 Hardest-Working States in America: 2021In honor of Labor Day, WalletHub looked at metrics like hours worked, employment rates and time spent volunteering.
September 01, 2021
SEC Orders Massachusetts Firm to Pay $700K Over Cash Sweep ConflictsCantella & Co. allegedly placed client cash into cash sweep products through which the firm collected revenue-sharing payments.
September 01, 2021
Raymond James Delays Office ReturnThe St. Petersburg-based firm has told workers they don't have to return to the office until Oct. 11, according to people familiar with the matter.
September 01, 2021
Advisor Group Exec Moves to FMG SuiteSusan Theder will become chief marketing and chief experience officer of the software and services firm.
August 31, 2021
Barred Long Island Broker Arrested Again for Defrauding InvestorsHe was accused of stealing $80,000 from clients who thought they were investing in shares of Airbnb, DoorDash and Petco.
August 31, 2021
SEC Charges Advisory Firm Serving Teachers With Billing, 12b-1 Fee ViolationsCertain clients had to pay a higher advisory fee than they should have and were charged 12b-1 fees.
August 31, 2021
Wall Street Vaccination Policies: What 9 Firms Are RequiringUpdated CDC guidance and rising infection rates due to the delta variant have prompted more firms to institute mandates.