Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Wealth Management Needs AI: Raymond James CEO
By Dinah Wisenberg BrinArtificial intelligence tools will help advisors better serve their clients, Paul Shoukry says.
March 02, 2026
FINRA Hits Goldman's Folio With $1.3M FineFolio "failed to conduct reasonable regular and rigorous reviews" of execution quality, according to FINRA.
February 27, 2026
Wescom Financial to Lay Off 71 in CaliforniaThe credit union, which uses LPL as a broker-dealer and clearing partner, will cut jobs starting April 21.
February 27, 2026
Financial Firms' Shares Walloped by More 'Cockroach' Credit Woes, AIThe combination delivered another bruising selloff in shares of banks and asset managers Friday.
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.