Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Bars Ex-Morgan Stanley Rep Accused of Using Client Credit Line for Himself
By Jeff BermanThe former broker also faced multiple client complaints alleging he misappropriated funds or made unauthorized withdrawals, FINRA says.
November 29, 2021
Raymond James Hires Edward Jones Exec to Lead RecruitingRobert Moseley will lead the advisor recruiting platform for the firm, which had close to 8,500 advisors Sept. 30.
November 24, 2021
Best & Worst Performing Robo-Advisors Over the Past 5 YearsThe 60/40 portfolio is not dead in the robo-advisor space.
November 24, 2021
'The Changing Complexion of Wealth': Attracting More Diverse Talent at MerrillThe wealth management exec says the industry must "take steps to make this profession more appealing for talent we wish to attract."
November 24, 2021
Google Reviews Are the New Client Referrals: Samantha RussellThe new Google Screened "could be a huge game changer" under the new SEC ad rule, she says.
November 24, 2021
Ex-Edward Jones Rep Indicted for Allegedly Defrauding Clients Out of $778KRonald Molo used some funds to pay for vehicles, credit card balances and home mortgages, prosecutors say.
November 24, 2021
2 More States Adopt Commission-Friendly Annuity Sales RulesAdvocates of the model hope to ward off the imposition of a broad fiduciary standard.
November 23, 2021
The Best & Worst Mobile Apps for Wealth Management: J.D. Power, 2021Overall customer satisfaction with these apps rose nine points year over year to 858 on a 1,000-point scale.