Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Meet the 2024 Luminaries Winners
By Janet LevauxThe honorees were acknowledged on stage Wednesday at the Fontainebleau Las Vegas.
November 08, 2024
Osaic Failed to Supervise Trading in Dead Client's Account: FINRAThe broker-dealer, earlier known as SagePoint, was fined $250,000 for issues with this matter and another account.
November 07, 2024
Cetera Financial Group CEO to RetireAdam Antoniades will remain a board member but is passing the leadership baton to Mike Durbin at year-end.
November 07, 2024
What's at Stake in the Ameriprise-LPL Fight Over Client DataAmeriprise accuses LPL of encouraging recruits to abscond with client data; LPL says Ameriprise aims to restrict competition.
November 07, 2024
11 Best & Worst BDs: Q3 Earnings, 2024Seven of these large BDs posted profit growth from last year, while earnings fell at four.
November 06, 2024
Goldman, JPMorgan Soar With Trump Poised to Deliver DeregulationTrump has vowed to cut the corporate tax rate, eliminate 10 regulations for every new one and fire some financial regulators.
November 05, 2024
JPMorgan Is Latest to Be Sued Over Cash SweepsA customer alleges "exploitative and unfair implementation" of the firm's bank deposit sweep program.
November 05, 2024
What Makes the 2024 Luminaries Finalists Stand OutSee our new guide to the firms and individuals redefining leadership and innovation in wealth management.