Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Ex-Edward Jones Rep Accused of Misusing Client Signatures Gets FINRA Bar
By Melanie WaddellPaul Fishman resigned amid concerns that he did not adhere to firm policies, an order states.
November 03, 2026
11 Best & Worst Broker-Dealers: Q3 Earnings, 2026The majority of firms reported higher earnings in the third quarter, including one that reported adjusted results.
November 02, 2026
SEC Fines United Planners $600K Over Leveraged ETF Sales to ElderlyThe firm and Cary Urich, a former rep, caused 54 advisory clients to lose 70% of their investments.
November 02, 2026
FINRA Bars Ex-Stifel Rep Accused of Taking Jewelry From Co-Worker, ClientGinger Marie Redeker failed to produce documents in the broker-dealer self-regulator's investigation, an order states.
October 30, 2026
PRO
Advisors Have More Options Than Ever: RecruiterLouis Diamond of Diamond Consultants discusses affiliation models, payouts and going independent.
October 28, 2026
FINRA Bars Ex-Edward Jones Rep Accused of Improper Use of DiscretionAlexis Leon Aldaz failed to produce documents in the regulator's investigation.
October 28, 2026
LPL Stock Sinks as Commonwealth Retention Falls ShortCEO Rich Steinmeier said the firm is evaluating the addition of platform fees.
October 21, 2026
Osaic Nabs $2.3B ICG next From LPLJames A. Costabile, managing partner, said the wealth management firm entered serious breakaway conversations about six months ago.