Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Advisors Adding Retirement Plan Participants as Wealth Clients: Study
By Dinah Wisenberg BrinWhile few advisors counsel DC plans, they're making progress in converting enrollees into clients.
February 17, 2026
New FINRA Plan Allows BDs to Market Performance ProjectionsThe amendments help align communications and marketing materials with the SEC's marketing rule, says attorney Ben Marzouk.
February 17, 2026
LPL Lays Off 3% of Workforce 'Across All Areas'Based on LPL's year-end headcount, roughly 300 people were likely dismissed.
February 13, 2026
Ameriprise Advisor Tricked by Phishing ScamIt was the firm's second report of a phishing-related data breach in as many months.
February 13, 2026
Ameriprise Sweetens Advisor Recruiting OffersCompetition with independent broker-dealers for advisors is still strong, but more measured, he said.
February 12, 2026
Altruist's Big Reveal Sent Wealth Management Stocks Tumbling. Here's What's Really Going On.While investors seemed to take the debut of an AI-powered tax tool as a new threat, an evolution is well underway.
February 09, 2026
$133M Award Against Stifel Should Stand, Judge SaysThe magistrate judge's opinion addresses a FINRA arbitration award tied to a barred advisor.
February 09, 2026
Ameriprise to Oversee $28B in Huntington Bank Investment AssetsThe relationship involves 260 advisors and retail brokerage, advisory and insurance services.