Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Citi Ordered to Pay Ex-Broker $1.4M in Gender Discrimination Case
By Jeff BermanA FINRA arb panel ruled in favor of a former broker who sued Citigroup, claiming discrimination and retaliation.
June 24, 2022
JPMorgan Will Cover Employees' Abortion-Travel Costs Starting Next MonthThe bank joins Citigroup in its support of workers seeking to end pregnancies outside of states with restrictive abortion laws.
June 23, 2022
FINRA Says National Securities Corp. Must Pay $9MThe fines, disgorgement and restitution are due to misconduct tied to 10 public offerings and other violations.
June 23, 2022
BofA Makes Strategic Investment in iCapital: Tech RoundupAlso, Edelman Financial Engines launches Income Beyond Retirement solution for 401(k) plan participants who are in or near retirement.
June 23, 2022
In Today's Tight Job Market, It Pays to Review CompensationHere are the pros and cons of some salary and benefit structures that are common in the advisory business.
June 22, 2022
Merrill's New Ad Push: Talk to an Advisor. Now.The campaign was created quickly in response to market volatility, the wirehouse says.
June 22, 2022
Pershing's Harrison: More Acquisitions Likely Around Pershing XBut advisors' biggest challenge now, by far, is finding and retaining top talent, Ben Harrison tells ThinkAdvisor.
June 22, 2022
Alex. Brown Chief to Leave Raymond JamesHaig Ariyan came on board when Deutsche Bank's U.S. Private Client Business was bought by Raymond James in 2016.