Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Dimon Tells Investors to 'Trust Me' on JPMorgan's Costs
By Hannah LevittThe bank faces higher expenses tied to incentive compensation for advisors and investments in AI.
January 08, 2026
3 Mega-RIAs Join Goldman Sachs Referral ProgramCreative Planning, Mercer and Wealth Enhancement Group are among the first to join.
January 07, 2026
FINRA Hits BD With $20K Fine Over Form CRS FailuresVSI Securities failed to disclose its disciplinary history on the form over a five-year period.
January 06, 2026
Cambridge Takes Minority Stake in AmeriFlex GroupThe investment is intended to accelerate the expansion of SuccessionFully, the hybrid RIA firm's single-source succession platform.
January 06, 2026
Stifel's Bills Tied to Barred Broker Keep GrowingThe firm is on the hook for nearly $200 million, with more settlements coming, over Chuck Roberts' risky recommendations.
January 05, 2026
FINRA Fines, Suspends Ex-Osaic Rep Fired Over LoansRonald Ray Botello borrowed $173,000 from two senior clients without firm approval, the order states.
January 05, 2026
Phishing Scam Snares an Ameriprise AdvisorThe breach potentially exposed nearly 600 clients' data, a state regulator warns.
January 02, 2026
Ex-Merrill Broker Sentenced to Two Years in PrisonRajesh Markan was also ordered to pay $2.5 million to investors in a fake private equity fund.