Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Revamps Independence Plus Platform
By John ManganaroIt has expanded services for transitioning advisors, who can now pick and choose more options for how they set up, run and grow their firms.
January 23, 2024
BD Crypto Communications Not Up to Snuff: FINRAA report found that 70% of retail communications potentially violate a rule on fair and balanced interactions.
January 22, 2024
FINRA Suspends Broker Over Reg BI ViolationsThe broker engaged in quantitatively unsuitable trading in the accounts of eight clients, three of whom were seniors.
January 19, 2024
16 Top Advisor Credentials: CerulliPeople enter the financial advice industry from a variety of backgrounds and with different areas of expertise.
January 19, 2024
JPMorgan Lifts CEO Jamie Dimon's Pay to $36M for 2023The bank had a record profit of $49.6 billion last year, boosted by interest rate hikes and its purchase of First Republic Bank.
January 18, 2024
Ex-Citi Advisor Charged With Fraud in Film Investment SchemeHelen Caldwell solicited clients to invest in her movie projects and spent their money on herself, prosecutors say.
January 18, 2024
Osaic Added $22B in Assets in 2023While that's down sharply from 2022, the firm plans to add $108 billion from the Lincoln acquisition.
January 17, 2024
JPMorgan to Hire This Year on Wealth, Dealmaking RevivalUnlike some rivals, "the number of people we employ has been growing and not shrinking," said President Daniel Pinto.