Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Goldman Sachs, JPMorgan and UBS Launch New Brands to Lure Average Investors
By Ben Schott and Paul J. DaviesHere's why these blue-chip banks — which for generations have fixated on the 1% — are stooping to conquer clients with just 0.01% of this wealth.
April 21, 2022
Envestnet to Offer New Data, Digital Solutions: Tech RoundupAlso, WisdomTree introduces Portfolio and Growth Solutions, providing customized portfolio and asset allocation services for RIAs and IBDs.
April 20, 2022
FINRA Warns BDs on Alt Fund Sales PracticesFINRA points to enforcement actions it has taken recently against several firms.
April 20, 2022
CFP Board Hikes Certification Cost, Adds New CE FeeThe new fee on CE providers will raise costs for CFPs, Michael Kitces says.
April 20, 2022
Best & Worst Broker-Dealers: Q1 Earnings, 2022Of 12 major financial firms that posted first-quarter earnings, just five increased profits from a year ago.
April 19, 2022
Ex-Morgan Stanley Rep Ran Multimillion-Dollar Ponzi Scheme, SEC SaysThe ex-broker allegedly blew over $800,000 of clients' funds on luxury cars and his credit card payments.
April 19, 2022
LPL Launches Paraplanning Services for Its AdvisorsThe firm's also testing tax and HNW services, says Aneri Jambusaria, EVP of its Planning & Advice Services.
April 19, 2022
Ed Slott: IRS Secure Act Regs Are 'Final Nail in the Coffin' for IRAs in Estate Plans"RIP IRAs as a long-term planning vehicle," Slott tells ThinkAdvisor.