Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Cetera Confirms New Round of Layoffs
By John ManganaroA spokesperson characterized the firings as a "small workforce reduction" focused on streamlining operations.
November 19, 2025
LPL Takes Minority Stake in Private Advisor GroupLPL joins Merchant Investment Management as a minority owner of the financial services firm, alongside legacy shareholders.
November 17, 2025
Ex-Fidelity Rep Suspended, Fined Over Outside Business ActivityThe rep made $13,000 selling an automated trading algorithm, FINRA said.
November 17, 2025
Ex-Broker Admits to Insider Trading Scheme Born From PandemicJordan Meadow admitted he traded on information stolen by a friend from his girlfriend’s computer.
November 14, 2025
Ex-Raymond James, Morgan Stanley Rep in Hot Water Over LoansSuspended rep Kirk Crossen faces additional disciplinary action for borrowing $400,000 from an elderly client, FINRA says.
November 14, 2025
LPL Launches Cash Management Account With Banking, Investing FeaturesLPL says the account allows clients to manage uninvested funds more efficiently.
November 12, 2025
FINRA Bars Ex-Spartan Capital RepRonald Smith failed to provide all requested information, including electronic communications, concerning excessive trades, FINRA said.
November 12, 2025
Kestra Adds Zocks AI Assistant Platform for AdvisorsThe tool allows financial pros to automate meeting preparation, notes and updates to CRM and planning systems.