Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL-Commonwealth Story 'Isn't Finished': Cetera CEO
By John ManganaroLPL’s acquisition is officially on the books, but Mike Durbin says the dust is far from settled.
December 09, 2025
FINRA Gives SEC More Time on Gift Limit BoostFINRA has proposed to increase the value limit on gifts by a registered person to $300.
December 04, 2025
Barclays Fined $325K for Failing to Supervise Outside Brokerage AccountsThe BD lacked procedures to collect and review employee-held outside account statements for prohibited trading, FINRA said.
December 03, 2025
Osaic to Pay $3M Over Mutual Fund Switches at Securities AmericaThe BD failed to supervise Class A fund switches, leaving customers with $2 million in fees, FINRA said.
December 01, 2025
Ex-Broker, State Lawmaker Pleads Guilty to Role in Extortion ConspiracyChristopher Ziogas, a former Connecticut representative who most recently worked at Kestra, has been barred by FINRA.
November 26, 2025
Ex-UBS Rep Suspended, Fined for Exceeding Personal Credit Card LimitTimothy R. Jones circumvented firm systems to go over his authorized limit, FINRA states.
November 24, 2025
Cetera Confirms New Round of LayoffsA spokesperson characterized the firings as a "small workforce reduction" focused on streamlining operations.
November 21, 2025
Top Advisors Once Shunned Edward Jones. Now They Come Knocking.The firm has made major changes to lure million-dollar producers, recruiter Jason Henderson says.