Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Ex-Stifel Rep Steered Older Clients to Costly Brokerage Trades: FINRA
By Melanie WaddellJonathan Webster placed trades in commission-based accounts rather than less expensive fee-based ones, a suspension order states.
January 23, 2026
In Trump v. Dimon, Years of Strain Culminate in $5B SuitTrump says Dimon personally locked him out of the U.S. financial industry after he left the White House in 2021.
January 22, 2026
Trump Sues JPMorgan for $5B Over Debanking ClaimsBeyond closing accounts, the bank placed the president and family members on a wealth management "blacklist," the complaint says.
January 21, 2026
Lawsuit Says United Planners, Advisor Steered Retirees to High-Risk InvestmentsThe complaint, seeking class-action status, alleges securities fraud and RICO violations.
January 20, 2026
$1B Team Departs Raymond JamesRegulatory filings show the firm, led by Benjamin Cohen as managing partner, will custody with Schwab and Fidelity.
January 20, 2026
FINRA Sends Revised Outside Business Activity Rule to SECFINRA's new plan clarifies "a number of sticking points," including supervisory requirements for outside RIA activity, says ACA's Cooke.
January 20, 2026
Cetera Fined $1.1M Over AML, Other Failures: FINRACetera Advisors, Cetera Wealth Services and Cetera Investment Services were cited for supervisory compliance issues.
January 15, 2026
Raymond James to Buy $46B Clark Capital ManagementThe firm will become an independent boutique investment manager within Raymond James Investment Management.