Broker dealers

After serving 18 months in jail, Craig Rothfeld knew “other people would need help too.”

That would be a big “no,” in most cases, according to FINRA, but gives rise to another question…

The all-in-one platform model is attracting some of the largest firms as consumers increasingly acclimate to housing all their financial needs under one roof.

Planners — and RIAs that want to hire them — have faced hurdles tied to client solicitation rules.

In the 1960s, iconoclastic reformers started a campaign to kill fixed brokerage fees. Today, we’re witnessing the logical culmination of that effort.

While advisors have embraced cheaper trades, the move may have long term effects on strategies for client portfolios.

Supervisory failures at LPL Financial, J.P. Morgan Securities, Morgan Stanley, Merrill Lynch and Citigroup prevented assets from moving to beneficiaries on time.

One size fits all? The single form for disclosure of client-advisor relationships applies even if firms offer multiple products and services.

The SEC says broker-dealers may treat investment advisors as if they were subject to the AML Rule — under certain conditions.

Who wins, loses after the massive BD merger crosses the finish line?