Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Robo-Advisor Ally Invest to Pay $500K Over Conflicts
By Melanie WaddellThe breaches of fiduciary duty were associated with Ally Invest's Cash-Enhanced accounts, the SEC finds.
March 19, 2026
JPMorgan, Goldman Offer Hedge Funds Way to Short Private CreditThe banks have assembled baskets of listed companies with exposure to the $1.8 trillion space.
March 19, 2026
Goldman Sachs Takes $42.5M Minority Stake in GeoWealthGeoWealth's family office owner, The Globe Resources Group, retains majority ownership of the TAMP.
March 18, 2026
Raymond James Names New Chief of Indie ChannelThe announcement follows Shannon Reid's departure to Osaic in December.
March 18, 2026
FINRA Bars Rep for Cheating on SIE ExamThe rep looked at photos of study materials for the entry-level test on his phone, the regulator found.
March 18, 2026
FINRA's Top 5 Fine Categories in 2025Total fines increased in 2025 while the number of cases fell, Eversheds Sutherland's analysis finds.
March 18, 2026
Best & Worst Wealth Management Firms Ranked by Investors: JD Power, 2026Trust in new fintech brands rose, but so did young, affluent DIY investors' desire for professional advice.
March 17, 2026
Inside the 2026 Enforcement Manual Updates: SEC RoundupA 15-year SEC veteran breaks down what's actually changed — and what it means for advisors, BDs and defense practitioners.