Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Morgan Stanley Set for Full Rollout of AI Chatbot for Advisors
By Jeff BermanIt's also working on a pilot program to automatically synthesize notes and next steps from client conversations.
September 06, 2023
10 States the Young and Wealthy Are Fleeing: 2023Here's where high earners age 26-35 are leaving faster than they can be replaced, according to SmartAsset.
September 05, 2023
Ramaswamy's Anti-ESG ETF Firm Hits $1B in AssetsHis "wealthy backers helped a lot and running for president probably can't hurt either," said analyst Eric Balchunas.
September 05, 2023
SEC to Consider Revised Funding Model for CATThe SEC will also consider whether to establish a fee schedule for Consolidated Audit Trail fees.
September 05, 2023
FINRA Hits Another BD With Reg BI-Related FineNetwork 1 Securities did not establish, maintain and enforce a supervisory system to comply with Reg BI's care obligation.
August 31, 2023
Best & Worst Broker-Dealers: Q2 Earnings, 2023During the second quarter, the operations of First Republic Bank became part of JPMorgan.
August 30, 2023
Ex-Morgan Stanley Exec Says He Was Fired for Being WhiteIn a lawsuit, Kevin Meyersburg alleges that the wirehouse replaced him with a less-qualified Black woman.
August 25, 2023
Ex-Wells Fargo, LPL Rep Gets 3.5 Years in Prison for Stealing $626K From ClientsThe broker pleaded guilty to stealing from clients at both firms to fund his gambling and personal expenses.