Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Edward Jones Partners With Duke and the University of Oregon
By Melanie WaddellAs part of the collaborations, the wealth management firm will hold financial education workshops for students and athletes.
August 26, 2026
LPL Lands $1.6B Team From CambridgeConte Wealth selected LPL for its technology capabilities, advisor support resources and ability to help the firm scale.
August 25, 2026
Forbes, Shook Research Suspend Rankings, EventsAmid a secret-payment scandal, Shook Research also announced it plans to rebrand.
August 25, 2026
FINRA Suspends Rep for Excessive Trading in Retiree's AccountGary Talbot of Spartan Capital recommended a series of transactions that violated Regulation Best Interest, an order states.
August 17, 2026
FINRA Moves to Strengthen Fraud Rules for SeniorsThe BD regulator has sent three investor protection proposals to the SEC for approval.
August 14, 2026
Cambridge Adds 186 Advisors in First Half of 2026The firm is a destination for advisors bought up by "mega consolidators and serial M&A shops," an exec says.
August 11, 2026
11 Best & Worst Broker-Dealers: Q2, 2026Most of the financial services industry's biggest firms topped analysts' profit estimates in the latest quarter.
August 10, 2026
Stifel Forks Over $3.6M to Settle More Claims Tied to Barred BrokerTwo additional settlements were paid in July in the ongoing Chuck Roberts dispute.