You Searched For "broker dealer" and got 20 results
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3 mins read
The Russian arms dealer who was exchanged for Brittney Griner is trying to sell weapons to the Houthis: report
Viktor Bout, released in a prisoner swap for Brittney Griner, is trying to sell weapons to the Hou…
Joshua Nelken-Zitser
5 mins read
FINRA: The organization that regulates broker-dealers and protects investors
FINRA monitors daily market functions, handles customer complaints, and maintains a library of educ…
Lauren Perez
1 min read
Massachusetts regulators are seeking to revoke Robinhood's broker license just as the trading app aims to go public
Robinhood, which has filed to go public through an IPO, said the regulator's move is "elitist and a…
Shalini Nagarajan
1 min read
The SEC slapped a JPMorgan subsidiary with a $2.8 million fine for operating as an unregistered broker-dealer
Neovest continued to do business as a broker dealer even after it deregistered its business followi…
Ethan Wu
6 mins read
A brokerage account is the first step to becoming an investor, allowing you to buy stocks, bonds, and other securities
In most cases, brokerage accounts are taxable. That is, income earned from these accounts is subjec…
Amena Saad
7 mins read
A Registered Investment Advisor (RIA) is a government-regulated professional who actively manages your portfolio
A Registered Investment Advisor (RIA) is a professional individual or firm that manages the assets …
Anne Field
4 mins read
China brokering a deal between the Saudis and Iran is a message for the US: Change your strategy or get left behind
Opinion: China is presenting a different vision for the Middle East and it is incumbent upon the US…
Hassan El-Tayyab
4 mins read
'Million Dollar Listing' brokers say now is the time for luxury homebuyers to scoop up a deal. Here’s their advice for buyers and sellers.
"Everyone's just watching carefully waiting for somebody to pull the trigger on something to see if…
Katherine Stinson
1 min read
Pro-Trump arms dealer reportedly bilked Ukraine of $200,000 meant for life-saving body armor
Former Newsmax host John Cardillo is being sued for failing to deliver body armor to Ukraine.
Warren Rojas
4 mins read
A supercar broker for celebrities like Elton John and Nicolas Cage shares what his job is like: 'I've bought cars in saunas, in swimming pools, and on airplanes'
Tom Hartley started selling cars after dropping out of school and watching his father do business. …
Mark Ellwood
10 mins read
Brittney Griner's freedom could hinge on an unorthodox prisoner exchange involving an ex-US Marine and a notorious Russian arms dealer
The sentencing judge for a highly valued Russian prisoner, dubbed the 'Merchant of Death,' explains…
Meredith Cash
1 min read
Finland is looking to hire a broker to sell 1,981 bitcoins seized in drug bust
The bitcoins, worth around $79 million at time of publication, are currently with Finnish Customs a…
Isabelle Lee
2 mins read
Cash App halts buying in AMC, Nokia amid pressure from clearing broker
Cash App has restricted buying in select securities after its clearing broker, Axos, was given new …
Will Daniel
2 mins read
Working from home hurts risk-taking and has led to 'uncommonly quiet' markets, says the world's largest interdealer broker
TP ICAP blamed its declining revenue partially on traders working from home during the pandemic.
Emily Graffeo
3 mins read
KEN FISHER: The 'Naive' RIA World Is At Risk Of Being Taken Over By Broker-Dealers
There are 20 huge trends that will dominate the U.S. according to Business Insider's Rob Wile. Here…
Mamta Badkar
2 mins read
The SEC just approved a massive change to how brokers give financial advice
Typically, financial advisers collect portfolio-based fees based on assets under management while b…
Arjun Reddy
15 mins read
How Daniel Kinahan, a suspected $1.1 billion Irish gang lord, suddenly became the broker of boxing's biggest clash in years
Daniel Kinahan is a key figure in the upcoming bout between Tyson Fury and Anthony Joshua. He has h…
Alan Dawson
4 mins read
The SEC's markets guru just chimed in on the broker wars - axing commissions is good for investors as long as they know the whole picture
Execution quality - which encompasses how quickly a trade gets done and price moves that hurt or he…
Rebecca Ungarino,Dan DeFrance…
4 mins read
A new machine-learning tool used by Citadel and Balyasny to rank their brokers hopes to put an to the 'old boys network'
Banks' prime brokerage units have historically been lucrative businesses. That's changed in recent …
Bradley Saacks
7 mins read
Why Morgan Stanley, which has 15,000-plus financial advisers catering to the super-wealthy, is buying a discount broker known for its talking baby ads
Morgan Stanley is not the only firm increasingly relying on its wealth management arm to drive grow…