Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Osaic Taps Ex-Raymond James Exec as President
By John ManganaroShannon Reid will lead advisor recruiting, retention and engagement initiatives while partnering across the organization.
December 11, 2025
FINRA Bars Ex-Broker Fired by LPL for Accessing Former Client AccountsJennifer H. Ceterko also participated in account activity in those outside accounts, according to the regulator.
December 10, 2025
FINRA Gives SEC More Time on Gift Limit BoostFINRA has proposed to increase the value limit on gifts by a registered person to $300.
December 09, 2025
FINRA Gives SEC More Time on Gift Limit BoostFINRA has proposed to increase the value limit on gifts by a registered person to $300.
December 04, 2025
Barclays Fined $325K for Failing to Supervise Outside Brokerage AccountsThe BD lacked procedures to collect and review employee-held outside account statements for prohibited trading, FINRA said.
December 03, 2025
Osaic to Pay $3M Over Mutual Fund Switches at Securities AmericaThe BD failed to supervise Class A fund switches, leaving customers with $2 million in fees, FINRA said.
December 01, 2025
Ex-Broker, State Lawmaker Pleads Guilty to Role in Extortion ConspiracyChristopher Ziogas, a former Connecticut representative who most recently worked at Kestra, has been barred by FINRA.
November 26, 2025
Ex-UBS Rep Suspended, Fined for Exceeding Personal Credit Card LimitTimothy R. Jones circumvented firm systems to go over his authorized limit, FINRA states.