Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Bars Ex-Raymond James Rep Accused of Borrowing From Clients, Taking Gifts
By Melanie WaddellJayme Frances Lemaire refused to provide information or documents for an investigation, an order states.
September 17, 2026
NYLife Rep Fired Over Outside Activities Gets Boot From FINRAGerald J. Page declined to produce documents for an investigation of his conduct, according to the regulator.
September 16, 2026
Ex-Edwards Jones Advisor Gets 7-Year Sentence in $10M Fraud Against Elderly ClientThe prison time for Ejiroghene Okuma should send a message to fiduciaries, a prosecutor said.
September 02, 2026
Edward Jones Partners With Duke and the University of OregonAs part of the collaborations, the wealth management firm will hold financial education workshops for students and athletes.
August 31, 2026
Scammed Client Accuses Ameriprise of NegligenceAn advisor should have asked more questions about suspicious withdrawals, a lawsuit suggests.
August 31, 2026
$2.1B Team Splits From LPL, Joins CeteraCalifornia-based Sierra Ridge Advisor Group leaves LPL after just 13 months and plans to launch an RIA.
August 26, 2026
LPL Lands $1.6B Team From CambridgeConte Wealth selected LPL for its technology capabilities, advisor support resources and ability to help the firm scale.
August 25, 2026
Forbes, Shook Research Suspend Rankings, EventsAmid a secret-payment scandal, Shook Research also announced it plans to rebrand.