IE Staff
Research by:
Sophie Allen-Barron, Anthony Burton, Ramona Leitao and Curtis Panke
Research editors:
Fiona Collie and Pablo Fuchs
Click on the documents link to view and download a PDF of the chart.
Brokerage Report Card 2018 main chart
Research by:
Sophie Allen-Barron, Anthony Burton, Ramona Leitao and Curtis Panke
Research editors:
Fiona Collie and Pablo Fuchs
Click on the documents link to view and download a PDF of the chart.
An overview of the 2019 Brokerage Report Card results
Products and services for wealthy clients could be bolstered
How investment advisors rated their firms
The average advisor saw higher AUM and productivity, and more client households
Alternative lenders held $13–14B of outstanding mortgages last year
Woman was permanently banned and ordered to pay $2.24 million in 2017
Defendant pleads guilty to his role in the scheme
Settlements generate US$89 million in restitution