Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Don't 'Torpedo' Medicare, Social Security in Retirement Plans: William Meyer
By Jane Wollman RusoffRetiree Inc.'s CEO says good intentions can go wrong, such as when a Roth conversion raised a client's Medicare premium, an outcome that "will likely" get the advisor "fire[d]."
March 17, 2022
Edward Jones to Plow $1B Into Tech This Year: Tech RoundupAlso, Pershing X, led by Ainslie Simmonds, announced a new partnership.
March 17, 2022
Rep Fired From Merrill After Smoothie Incident Has a New GigJames Iannazzo is now a registered rep at Aegis Capital, according to FINRA's BrokerCheck.
March 16, 2022
Advisors Happy With Outsourced Investment Management: SurveyAssetMark, a TAMP, found that most advisors who had chosen outsourcing were satisified with their decision.
March 16, 2022
DOL Withdrawal of Independent Contractor Rule Violated Law, Judge RulesFSI says the rule gives advisors and firms certainty that they are indeed independent.
March 16, 2022
Ex-LPL, Wells Rep Stole $500K, Gambled With Client Money, Prosecutor SaysIf convicted of stealing over $500,000 from clients, the barred broker faces a maximum of 65 years in prison.
March 16, 2022
How Direct Indexing Helps Clients Cope With Market Volatility, TaxesMonali Vora, a partner at Goldman Sachs Asset Management, says every client wants a portfolio tailored to their financial goals.
March 11, 2022
FINRA's Top 5 Fine Categories in 2021Fines in 2021 saw a "dramatic bump," driven by a record-setting fine.