Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Ex-Merrill Advisor Gets Annuity Complaint Expunged
By Melanie WaddellThree FINRA arbitrators said the customers "often made spurious complaints and quickly withdrew or dropped them."
March 11, 2026
Goldman, Citi Tell Staff to Exit Dubai Offices Amid Iran ThreatsThe latest developments come as Iran continues to strike targets across the Middle East.
March 09, 2026
Wall Street Firms Offer UAE Staff Option to Relocate TemporarilyGoldman Sachs, Morgan Stanley and Citigroup are among those that have given employees this option due to attacks.
March 05, 2026
Wells Fargo Free of Consent Orders for First Time in 15 YearsThe Federal Reserve said Thursday that it terminated the last one, which was issued in 2018.
March 04, 2026
Edward Jones Gets OK to Open a BankThe Utah-chartered institution, launching by early 2027, will partner with advisors to bring bank offerings to clients.
March 03, 2026
Wealth Management Needs AI: Raymond James CEOArtificial intelligence tools will help advisors better serve their clients, Paul Shoukry says.
March 02, 2026
FINRA Seeks to Revamp Controversial Arbitration RulesPIABA's president called FINRA's comment request "a transparent attempt to gut a host of key investor protection safeguards."
March 02, 2026
11 Best & Worst Broker-Dealers: Q4 2025Earnings growth at firms in the financial sector hit 9.3%, up from the expected 6.4%.