Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
11 Best & Worst Broker-Dealers: Q2, 2026
By Janet LevauxMost of the financial services industry's biggest firms topped analysts' profit estimates in the latest quarter.
August 04, 2026
$3.5B Team Joins Cetera to Launch RIAThe team — New York-based iTP Partners — joins from Osaic.
August 03, 2026
FINRA Bars Ex-Ameriprise Advisor Charged in Gambling BustElias Chris Gerodemos refused to provide documents after being charged with involvement in an illegal sports betting operation.
July 31, 2026
LPL Aims to 'Get Into More Conversations' With Wirehouse, Regional Reps: CEO"We continue to be the disproportionate winner in our traditional markets" for advisor recruiting, said Rich Steinmeier on the firm's latest earnings call.
July 31, 2026
LPL Debuts Unified Tech PlatformA core asset of LPL Latitude is Cyan, LPL's AI agent, which is set to launch later this year.
July 29, 2026
RBC to Pay $275K Over Anti-Money Laundering FailuresOver seven years, a FINRA order states, the firm did not have an AML compliance program "reasonably designed to detect and cause the reporting of suspicious transactions."
July 28, 2026
Ex-Citigroup Managing Director Gets 30 Years for Sex CrimesEdward Gene Smith, a Harvard graduate who worked at several Wall Street firms, was sentenced Tuesday. He pleaded guilty seven months ago.
July 28, 2026
Will the SEC Scrap This Vague Texting Rule?The agency plans to issue proposals in October on which records that BDs and RIAs need to keep.