Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Wells Fargo Adds Role to Boost Growth in FiNet, First Clearing
By Janet LevauxErik Karanik, who joined the bank in 1990, now leads Independent Solutions for its Wealth & Investment Management unit.
February 21, 2024
FINRA Fines BD $75K for Email ViolationsIn one incident, a Ceros employee sent hundreds of clients' account data to their personal email, FINRA says.
February 20, 2024
Best & Worst Broker-Dealers: Q4 Earnings, 2023Six large BDs reported a drop in earnings in the final quarter of 2023.
February 20, 2024
Kestra Adds $9.5B in New AssetsThe firm welcomed 110 advisors during 2023, marking its most successful recruiting year yet, says one executive.
February 20, 2024
LPL Expands HNW Program, Drops Asset MinimumThe firm is eliminating a $5 million investable asset minimum for HNW specialty services.
February 16, 2024
TIAA to Pay $2.2M for Reg BI Violations in IRA ProgramThe firm didn't disclose that core funds were more cheaply available in the IRAs' brokerage window, regulators say.
February 16, 2024
10 Top Priorities for SEC and FINRA in 2024Here are the hottest topics among regulators this year, according to ACA Compliance Group.
February 15, 2024
Burt White: 'If We Lose the Humanity, We're Toast'Carson Group is looking to the future and has big M&A plans, the exec tells ThinkAdvisor.