Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Edward Jones to Expand Limited Partnership Opportunities
By John ManganaroThe firm is preparing for the largest limited partnership offering in its history, Penny Pennington confirms.
November 05, 2025
Wall Street Moves to Support Mamdani After NYC Mayoral Election Win"In some respects he’s the left-wing version of Donald Trump," said former BlackRock executive Mark Kronfeld.
November 04, 2025
Citi’s Family Office Head to DepartFour regional heads now lead the private bank and report to Andy Sieg, who heads Citigroup’s broader wealth business.
October 31, 2025
LPL Reports 80% Commonwealth Retention So Far, Sticks to Higher TargetThe firm also said it's reducing fees and simplifying the pricing structure across its advisory platforms.
October 31, 2025
FINRA Bars Ex-Transamerica Rep Fired for Alleged Outside Business ActivityGeorge Ndifor Jing refused to provide documents and information requested by the regulator, according to the order.
October 27, 2025
FINRA Bars Ex-Raymond James Rep Accused of Stealing Client FundsJose Gamez failed to appear for testimony related to using client assets for personal reasons, the order states.
October 27, 2025
Equitable to Acquire Stifel Independent AdvisorsThe acquisition includes more than 110 independent advisors managing about $9 billion in client assets.
October 24, 2025
BD Hit With $65K Fine Over Reg BI, Email, Outside Business ViolationsJ.K. Financial omitted information from Form CRS,, among other failures, according to FINRA.