Broker-Dealers

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  1. Articles

    In Labor Department's fiduciary proposal, a nod to passive investing

    Brokers who sell index funds may get a leg up from newly proposed requirements that would impose more stringent advice standards.

  2. Articles

    Ex-JPMorgan Chase broker charged with stealing $20M from clients

    Allegedly was investing in municipal securities, but pocketed money instead

  1. Articles

    Brokers get a mixed review on how they treat older investors

    More than a third of brokerage firms examined by Finra and the SEC made one or more potentially unsuitable recommendations of variable annuities to senior investors.

  2. Articles

    Broker-dealer expands crowdfunding reach with new partnership

    Broker-dealer North Capital Private Securities adds crowdfunding site OneVest to its platform that syndicates private offerings for investors.

  3. Articles

    Stifel's purchase of Sterne Agee likely not its last in the broker-dealer space

    The acquisition signals Stifel's interest in growing its wealth management business, though future deals depend on what's available — and at what price, according to CEO Ron Kruszewski.

  4. Articles

    Merrill Lynch's John Thiel urges colleagues to work with DOL on fiduciary rule

    At least one major industry player is taking a more welcoming stance toward working with the Labor Department as it seeks to create a rule that would hold brokers to a fiduciary standard when dealing with retirement plans.

  5. Articles

    Liquidity restrictions haunt money-market funds

    As investors hunt for yield and security, money-market fund managers detail their changes.

  6. Articles

    Would one share of Warren Buffett's Berkshire Hathaway be a smart retirement savings strategy?

    Breakfast with Benjamin: Would buying one share of Warren Buffett's Berkshire Hathaway be a good savings strategy?

  7. Articles

    Brokerage executives enjoying steadily increasing payouts

    As markets thrive and wealth management becomes a focus at major firms, brokerage execs like Morgan Stanley's Greg Fleming enjoy bigger paydays.

  8. Articles

    Tony Thompson barred from securities industry

    The regulator said he misrepresented $50 million private offering that later went into default

  9. Articles

    Alternative investing education grows in stride with fast-growing liquid alts space

    Wirehouses and broker-dealers are seen as the next area of expansion for year-old program.

  10. Articles

    Morgan Stanley CEO James Gorman rakes in the big bucks

    Breakfast with Benjamin: A 25% pay raise to $22.5 million means it's good to be Morgan Stanley CEO James Gorman.

  11. Articles

    Are brokers being branded with a scarlet 'S'?

    Proponents of a fiduciary standard are ganging up on commission-based advisers through public shaming regarding the Suitability standard.

  12. Articles

    New York City official wants to make brokers say: 'I am not a fiduciary'

    Advice industry mixed on the push for a New York bill to clearly distinguish advisers from brokers.

  13. Articles

    Royal Alliance acquires small independent B-D

    Formerly known as First Midwest Securities, the IBD has 33 advisers and $600 million under management.