Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Best & Worst Broker-Dealers: Q1 Earnings, 2023
By Janet LevauxSeven firms posted positive results in the quarter, which ended with the failure of Silicon Valley Bank.
May 18, 2023
First Command Sues LPL Over Alleged Advisor PoachingThe military-focused firm says LPL recruited three of its advisors and caused them to violate agreements.
May 18, 2023
Next Hearing Set for Ex-Broker Charged With Murder of BofA-Merrill ExecA preliminary hearing for Anthony Duwayne Turner, charged with killing Michelle Avan, was postponed until May 29.
May 18, 2023
Former Fidelity Exec Mike Durbin to Lead Cetera HoldingsThe industry veteran will work with Cetera Financial Group CEO Adam Antoniades, who leads its 8,000 financial professionals.
May 17, 2023
FINRA Plans More Remote Work RulesAlso under consideration is an update to FINRA's outside business activity rule, according to CEO Robert Cook.
May 16, 2023
Reg BI Is a 'Work in Progress': SEC ChiefSEC Chairman Gensler addressed hot topics, like off-channel communications, at FINRA's annual conference Tuesday.
May 15, 2023
FINRA Expels Firm Over Reg BI Violations"The serious misconduct in this case exposed customers to significant risk of harm and necessitated expulsion," the regulator said.
May 11, 2023
HSBC, Scotia Capital Hit With SEC Text Message FinesBoth firms admitted their employees often communicated about securities business using platforms like WhatsApp.