Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
The BD 'Waiting in the Wings' to Serve RIAs, Large and Small
By Dinah Wisenberg Brin"We've been very, very busy," Interactive Brokers' institutional sales director, Amanda McLean, tells ThinkAdvisor.
October 02, 2026
PRO
Outside Business Activities: What to Know Under FINRA's New RulesThe rules narrow BDs' oversight, but firms should flag certain gigs for review.
October 01, 2026
Stifel Pays Another $30M Over Barred Broker's Structured Notes StrategyThe financial services firm has paid more in damages in disputes tied to Chuck Roberts' investment approach.
September 29, 2026
FINRA Bars Ex-LPL Rep for Taking $1.7M From ClientsRudy Anguiano transferred funds from two investors' accounts into his own company's bank account, an order states.
September 25, 2026
Texas Advisor Accused of Racism Seeks to Restore Her Case Against LPLLPL ended its affiliation with Eileen Cure in 2021 after allegations in a viral video; Cure says the BD harmed her reputation.
September 24, 2026
Ameriprise, Broker to Pay Edward Jones Nearly $4.8M in Trade-Secrets DisputeAfter being fired from Edward Jones, Cory Clem attempted to take trade secrets and solicit clients, a FINRA arb panel found.
September 24, 2026
Prudential Advisors Rebrands as Prudential Wealth AdvisorsThe firm said the change reflects its evolution and expanded capabilities.
September 23, 2026
Vanguard, Morgan Stanley, Pershing Face Class Action Over Paper Statement FeesThe financial firms were sued in federal court over charging for written records of balances and trades.