Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Hits Goldman's Folio With $1.3M Fine
By Melanie WaddellFolio "failed to conduct reasonable regular and rigorous reviews" of execution quality, according to FINRA.
February 27, 2026
NewEdge Adds $1B Ameriprise Team in New YorkLast month, the RIA nabbed a 24-person Ameriprise group with $1.4 billion in client assets in Tennessee.
February 27, 2026
Stifel Faces up to 19 More Claims Tied to Barred BrokerThe BD is also still fighting a cash-sweep lawsuit, according to its annual report.
February 26, 2026
FINRA Bars Ex-Morgan Stanley Advisor Over Refusal to Share Info for ProbeThe advisor joined an RIA the month after his Morgan Stanley dismissal.
February 26, 2026
DOL Releases New Indie Contractor Rule ProposalLabor is taking comments on the plan until April 28.
February 24, 2026
SEC Closes LPL Cash Sweep ProbeThe firm still faces class action lawsuits over low rates paid on cash and says it will defend itself.
February 24, 2026
LPL Expands Partnership With AnthropicThe announcement came as Anthropic announced new wealth management-focused plugins for its AI assistant, Claude.
February 19, 2026
United Planners Signs On to AI Platform Founded by 4 Fintech VeteransHamachi.ai was founded in 2025 by Eric Clarke, Brian McLaughlin, Mike Wilson and Mustapha Baassiri.