Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
U.S. Bancorp Unit Fined $500K, Censured Over Suspicious Activity Reports
By Dinah Wisenberg BrinThe firm incorrectly used the reporting threshold for banks rather than broker-dealers, FINRA reported.
August 18, 2025
Edward Jones Plans Home Office Layoffs This MonthThe firm now has about 9,000 home office employees serving its roughly 20,000 financial advisors and their clients.
August 15, 2025
LPL Rolling Out AI-Powered Tools to Help Advisors 'Earn More'The firm will invest $50 million to add “clarity and intelligence to every payout,” it said at the Focus conference.
August 12, 2025
Recruiting Deals Offer More Than Money, But the Money's Really Good, TooThere’s a rush to get the assets of longer-tenured advisors before they get locked up in a sunset package.
August 12, 2025
Osaic Adds $4.2B Minnesota Credit UnionBlaze Credit Union was formed in 2024 via the merger of two credit unions with nearly a century of history.
August 12, 2025
11 Best & Worst Broker-Dealers: Q2 Earnings, 2025Nine out of the 11 reporting firms in the sector announced improved results from a year ago.
August 11, 2025
LPL Focus 2025 Draws Record CrowdThe annual event comes at a pivotal time for LPL, following the close of its Commonwealth acquisition.
August 05, 2025
LPL Taps Former McKinsey Partner as Chief People OfficerEmily Field will oversee all HR functions for more than 9,000 employees, according to the broker-dealer.