Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA's Top 5 Fine Categories in 2025
By Melanie WaddellTotal fines increased in 2025 while the number of cases fell, Eversheds Sutherland's analysis finds.
March 13, 2026
Ex-Merrill Advisor Gets Annuity Complaint ExpungedThree FINRA arbitrators said the customers "often made spurious complaints and quickly withdrew or dropped them."
March 12, 2026
FINRA to Shorten Wait Times for Retaking ExamsThe regulator's board also approved a plan to provide parties with greater input into replacing arbitrators.
March 12, 2026
Ex-Advisor Accused of Racism in TikTok Video Must Pay LPL Over $820KEileen Cure had sued the BD for $95 million after it ended an affiliation with her.
March 11, 2026
Goldman, Citi Tell Staff to Exit Dubai Offices Amid Iran ThreatsThe latest developments come as Iran continues to strike targets across the Middle East.
March 09, 2026
Wall Street Firms Offer UAE Staff Option to Relocate TemporarilyGoldman Sachs, Morgan Stanley and Citigroup are among those that have given employees this option due to attacks.
March 05, 2026
Wells Fargo Free of Consent Orders for First Time in 15 YearsThe Federal Reserve said Thursday that it terminated the last one, which was issued in 2018.
March 04, 2026
Edward Jones Gets OK to Open a BankThe Utah-chartered institution, launching by early 2027, will partner with advisors to bring bank offerings to clients.