Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Stifel Hit With Suit Over Excessive 401(k) Plan Fees, Fund Options
By Lynn CavanaughEmployees say the average fee of $79 is 182% higher than that of comparable retirement plans.
July 02, 2025
Osaic Exec Disputes Details of Multibillion-Dollar AmeriFlex SplitReports of a surprise $12 billion exodus are inaccurate, Osaic wealth exec Greg Cornick says.
July 01, 2025
Rep Fined, Suspended for Not Disclosing Outside Business ActivityThe rep was a trustee to the estate of a deceased Cambridge customer without prior notice, FINRA says.
July 01, 2025
Ex-LPL Advisor Suspended After Family Named as Client's BeneficiariesA client designated the advisor's wife as primary beneficiary on six LPL accounts, FINRA says.
June 27, 2025
$1.1B UBS Team Moves to RBC WealthThe nine-member Centennial Wealth Management Group joins a new branch office in suburban New York.
June 27, 2025
LPL Cutting 70 Jobs in San DiegoThe layoffs will affect mostly senior and management positions, a local paper reported.
June 26, 2025
Public, Private or PE? Commonwealth Advisors (and Others) Have Decisions to MakeMike Durbin of Cetera talks to ThinkAdvisor about AI, advisor recruiting and why private equity gets a bad rap.
June 20, 2025
Wealth Consulting Group Taps Ex-LPL Exec as PresidentAndy Kalbaugh joins the hybrid RIA, which uses LPL as its broker-dealer, as it enters a growth phase.