Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Schwab CEO Bettinger to Retire
By Dinah Wisenberg BrinBettinger steps down after 16 years leading the firm, to be replaced by President Rick Wurster.
September 26, 2024
Ex-Advisor Sues LPL, Citizens Bank & Trust Over Botched TransitionNathan Adams was punished for pursuing a job with LPL, which botched a background check, the complaint alleges.
September 24, 2024
EF Hutton's Ousted CEO Fires Back, Alleging Unlawful 'Coup'Joseph Rallo says the company defamed him and that his former partner deposed him out of jealousy.
September 24, 2024
Raymond James Cancels Women's Symposium Due to Hurricane ForecastThe forecasted path of Helene will bring the storm near Orlando, the site of the annual conference.
September 18, 2024
SEC Hits First Horizon With $325,000 Reg BI FineThe charges relate to First Horizon's recommendations of structured notes after its merger with IberiaBank.
September 16, 2024
Firm Violated Reg BI With Class A Mutual Fund Switches: FINRASecurities Research Inc. of Florida must pay more than $100,000 for not supervising a rep's short-term switches.
September 13, 2024
Merrill Lands $2.2B Morgan Stanley TeamThe Oberheide-Schlesinger Group's James Oberheide brings over 30 years' financial industry experience.
September 12, 2024
Meet the Luminaries Class of 2024 FinalistsFountainbleu / Las Vegas, NV / December 11. 2024