Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Meet the Winners: LUMINARIES in Thought Leadership, 2021 — People
By ThinkAdvisorMeet the individuals being honored for thought leadership that is driving the financial industry forward.
August 20, 2021
FINRA Seeks Sanctions Against Ex-Pru Rep Over Fake Insurance ApplicationsThe former Pruco broker also allegedly forged clients' signatures, FINRA says.
August 20, 2021
Schwab Provides Pandemic Pay Raise, Delays Office ReturnThe firm is giving most employees a 5% raise in recognition of their service to clients and each other during the pandemic, it says.
August 19, 2021
SEC Bars Ex-LPL Rep Who Stole More Than $600K From Retired ClientThe ex-LPL broker pleaded guilty to one count of wire fraud in May.
August 19, 2021
Snappy Kraken Introduces Advisor Text Marketing PlatformThe new Convos text messaging platform launched in beta for select RIAs and BDs, and will expand starting in Q4, the company says.
August 19, 2021
LUMINARIES Class of 2021: Diversity & InclusionMeet the firms, individuals and organizations with programs, products and services being honored for driving the industry forward.
August 18, 2021
SEC Orders Advisory Firm to Pay $9M Over Short SalesAdvisory firm Murchinson, its principal officer and trader caused brokers to violate Regulation SHO rules, the SEC alleged.
August 18, 2021
Schwab Launches Interactive Platform to Help Retirement SaversA new dashboard helps savers assess their financial health and then take next steps.