Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Advisors, Take Note: SEC Rule Revamps Are on the Way
By Melanie WaddellThe agency's just-released Reg Flex agenda for 2026 includes several hot-button issues for advisors.
July 06, 2026
New Bill Allows RIA Clients to Qualify as Accredited InvestorsIndustry trade groups applauded the Informed Investor Access Act.
June 29, 2026
Merrill to Pay $7.5M for Failing to File Suspicious Activity ReportsMerrill failed to investigate certain types of events under a BofA risk scoring system, the SEC said.
June 26, 2026
At House of Dimon, Troy Rohrbaugh Makes His Play for the Top JobOn Thursday, Rohrbaugh became the bank's co-president and now leads its sprawling consumer business after Marianne Lake's departure.
June 24, 2026
FINRA Ousts Morgan Stanley Broker Fired for Allowing Third-Party Access to Client's AccountJames Fredrick Tighe refused to testify about the allegations, FINRA says.
June 24, 2026
Edward Jones Invests in QuickenThe firm aims to complement its advisor-led model by acquiring a minority stake in the personal finance software maker.
June 24, 2026
Commonwealth Hit With Class-Action Suit Over Cash SweepsThe complaint claims breach of fiduciary duty, breach of contract, violations of consumer protection statutes and unjust enrichment.
June 22, 2026
JPMorgan Fights $4M FINRA Award to Rep Fired Over Super Bowl PartyThe bank argued it "had ample reason to terminate" Brent Ryan Bodner for misrepresenting the nature of an expense.