Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Closes Acquisition of Atria Wealth Solutions
By John ManganaroThe firm said it expects to meet or exceed its 80% advisor retention goal.
October 02, 2024
What to Learn From LPL's Firing of Dan Arnold: RecruiterAll eyes are on the broker-dealer to see how it navigates this uncertainty.
October 02, 2024
LPL CEO's Firing Catches Some by SurpriseConsultant Chip Roame says LPL has done well under the leadership of Dan Arnold, who was fired for cause.
October 02, 2024
TD Securities to Pay $28.5M to Resolve Spoofing AllegationsThe charges concern tens of billions of dollars in fraudulent trades of Treasurys, authorties said.
October 01, 2024
LPL Fires CEO Dan Arnold for MisconductArnold made statements to employees that violated LPL's code of conduct, an investigation found.
October 01, 2024
Schwab Nears Settlement in Antitrust Suit Over TD Ameritrade DealParties in the lawsuit told a judge they've reached a "settlement in principle."
October 01, 2024
Schwab CEO Bettinger to RetireBettinger steps down after 16 years leading the firm, to be replaced by President Rick Wurster.
September 30, 2024
Fidelity Sharply Cuts Mobile Deposit Limits After ScamScammers urged Fidelity customers to join a scam targeting mobile deposits into cash management accounts.