Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Best & Worst Broker-Dealers: Q4 Earnings, 2023
By Janet LevauxSix large BDs reported a drop in earnings in the final quarter of 2023.
February 16, 2024
TIAA to Pay $2.2M for Reg BI Violations in IRA ProgramThe firm didn't disclose that core funds were more cheaply available in the IRAs' brokerage window, regulators say.
February 16, 2024
10 Top Priorities for SEC and FINRA in 2024Here are the hottest topics among regulators this year, according to ACA Compliance Group.
February 15, 2024
Burt White: 'If We Lose the Humanity, We're Toast'Carson Group is looking to the future and has big M&A plans, the exec tells ThinkAdvisor.
February 15, 2024
Why Stifel Exec Alex David Jumped to Raymond JamesHe spent the past three years as head of Stifel Financial's independent contractor channel.
February 14, 2024
LPL's Steinmeier: Why We Bought Atria and What's NextLPL had been courting Atria for some time and finally found its opening last year, the executive says.
February 13, 2024
LPL to Buy Atria Wealth Solutions for $805MThe move could add about 2,400 advisors and $100 billion of brokerage and advisory assets to the IBD.
February 09, 2024
New FINRA Arbitrator Selection Rules Start March 4The changes are intended to make the arbitrator selection process more transparent.