Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
3 Mega-RIAs Join Goldman Sachs Referral Program
By Melanie WaddellCreative Planning, Mercer and Wealth Enhancement Group are among the first to join.
January 06, 2026
Stifel's Bills Tied to Barred Broker Keep GrowingThe firm is on the hook for nearly $200 million, with more settlements coming, over Chuck Roberts' risky recommendations.
January 05, 2026
FINRA Fines, Suspends Ex-Osaic Rep Fired Over LoansRonald Ray Botello borrowed $173,000 from two senior clients without firm approval, the order states.
January 05, 2026
Phishing Scam Snares an Ameriprise AdvisorThe breach potentially exposed nearly 600 clients' data, a state regulator warns.
January 02, 2026
Ex-Merrill Broker Sentenced to Two Years in PrisonRajesh Markan was also ordered to pay $2.5 million to investors in a fake private equity fund.
January 02, 2026
Osaic to Repay $4.6M in Cash Sweep FeesIts former American Portfolios unit didn't follow the fee calculation formula it disclosed to clients, according to FINRA.
December 16, 2025
Osaic Taps Ex-Raymond James Exec as PresidentShannon Reid will lead advisor recruiting, retention and engagement initiatives while partnering across the organization.
December 15, 2025
FINRA Fines Ex-Raymond James Rep for Taking, Altering Client InfoThe rep changed client contact information in Raymond James' system before leaving for Piper Sandler, FINRA states.