Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
4 Things Successful Advisors Do: LPL
By Michael S. FischerAdvisors that exhibited even two of these behaviors grew five times faster than peers, a study found.
September 15, 2025
LPL Weighs Minority Investments in Hybrid RIAsThe strategy would provide capital-hungry firms an alternative to private equity, executive Marc Cohen says.
September 05, 2025
Who Actually Needs to Register as a Broker-Dealer? — SEC RoundupAndreessen Horowitz and the DeFi Education Fund are proposing a "safe harbor" for fintech apps.
September 05, 2025
JPMorgan to Cut 58 More Jobs in New JerseyThe layoffs at the bank follow nearly 330 previously announced job cuts in the state.
September 04, 2025
Stifel Adds Ex-Merrill Exec and $1B of His Investment Firm's AssetsLaunny Steffens will lead asset management; Stifel will acquire AUM from his firm, Spring Mountain Capital.
September 03, 2025
JPMorgan Lays Off 99 In San FranciscoThe company has added thousands of positions overall and has more than 14,000 openings.
September 02, 2025
FINRA Fines, Suspends Ex-Rep Over Texting, Unauthorized TradesJoseph Warner Rozof made discretionary trades in clients' accounts and texted about transactions, according to FINRA.
August 28, 2025
Edward Jones Lays Off Hundreds of Home Office EmployeesThis week's job cuts are tied to hundreds more voluntary separations that took placce earlier this year, the firm said.