Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
11 Best & Worst Broker-Dealers: Q3 Earnings, 2025
By Janet LevauxBD earnings in the quarter rose as much as 74% from a year ago.
November 17, 2025
Ex-Broker Admits to Insider Trading Scheme Born From PandemicJordan Meadow admitted he traded on information stolen by a friend from his girlfriend’s computer.
November 14, 2025
Ex-Raymond James, Morgan Stanley Rep in Hot Water Over LoansSuspended rep Kirk Crossen faces additional disciplinary action for borrowing $400,000 from an elderly client, FINRA says.
November 14, 2025
LPL Launches Cash Management Account With Banking, Investing FeaturesLPL says the account allows clients to manage uninvested funds more efficiently.
November 12, 2025
FINRA Bars Ex-Spartan Capital RepRonald Smith failed to provide all requested information, including electronic communications, concerning excessive trades, FINRA said.
November 12, 2025
Kestra Adds Zocks AI Assistant Platform for AdvisorsThe tool allows financial pros to automate meeting preparation, notes and updates to CRM and planning systems.
November 10, 2025
Edward Jones to Expand Limited Partnership OpportunitiesThe firm is preparing for the largest limited partnership offering in its history, Penny Pennington confirms.
November 06, 2025
U.S. Firms Announce Most October Job Cuts in Over 20 YearsCompanies announced 153,074 job cuts last month, almost triple the number during the same month last year.