Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
BD to Pay $600K Over Unapproved Messaging
By Melanie WaddellBTGI failed to reasonably supervise employees' use of unapproved communications platforms for business purposes, FINRA states.
March 24, 2026
Robo-Advisor Ally Invest to Pay $500K Over ConflictsThe breaches of fiduciary duty were associated with Ally Invest's Cash-Enhanced accounts, the SEC finds.
March 23, 2026
Commonwealth Agrees to Pay $5M to SEC After $93M Judgment TossedThe settlement would resolve a long-running battle over disclosure of a mutual fund revenue-sharing program.
March 22, 2026
LPL's CEO Pay Topped $14.5M in 2025Steinmeier's compensation remains below the peer median and levels seen in the broader market, the broker-dealer says.
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.