Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Osaic to Repay $4.6M in Cash Sweep Fees
By Melanie WaddellIts former American Portfolios unit didn't follow the fee calculation formula it disclosed to clients, according to FINRA.
December 11, 2025
LPL-Commonwealth Story 'Isn't Finished': Cetera CEOLPL’s acquisition is officially on the books, but Mike Durbin says the dust is far from settled.
December 11, 2025
FINRA Bars Ex-Broker Fired by LPL for Accessing Former Client AccountsJennifer H. Ceterko also participated in account activity in those outside accounts, according to the regulator.
December 10, 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 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.