Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC OKs New FINRA Rules for Home Offices, Remote Inspections
By Melanie WaddellThe changes "reflect today's hybrid work environment while still providing critical investor protections," FINRA said Monday.
November 16, 2023
LPL to Distribute Prosperity Life Indexed AnnuityOne of the indexes is designed to perform well when inflation runs high.
November 15, 2023
LPL Rolls Out HNW 'Private Wealth' ChannelThe firm says the new channel offers wirehouse-like services without the shifting pay grids or sales targets.
November 09, 2023
SEC Bars Ex-Edward Jones Rep Who Defrauded Clients Out of $800KRonald T. Molo, accused of using client money to pay for two cars, has been sentenced to two years in prison.
November 09, 2023
JPMorgan Is Working With Regulators on Generative AI ProjectsThe bank has applied to trademark IndexGPT, a pilot program that aims to offer investment advice to customers.
November 08, 2023
Baird to Pay $519K Over Excessive Mutual Fund Sales ChargesCustomers didn't receive sales charge waivers and fee rebates to which they were entitled.
November 08, 2023
Citigroup to Pay $25.9M for Armenian-American DiscriminationFrom 2015 to 2021, it singled out credit card applicants suspected of being of Armenian descent based on their surnames.
November 02, 2023
Pittsburgh Advisor Is Running for a CauseWill Hoffman is racing in Sunday's NYC Marathon to raise awareness and research funds to fight neurofibromatosis.