Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
BofA, BNY Sued Over Alleged Ties to Epstein Sex-Trafficking
By Chris DolmetschClass-action lawyers accuse Bank of New York of processing $387 million in payments to women trafficked by the financier.
October 10, 2025
Interactive Brokers Adds Advanced Tax Planning CapabilitiesTraders can now preview potential gains (or losses) before submitting orders and select specific lots to close.
October 07, 2025
Cetera Nabs $1.1B Commonwealth Team in New JerseyKing Financial Network is joining Cetera’s Summit Financial Networks community.
October 06, 2025
Synovus Securities to Pay $315,000 Over E-SignaturesThe BD failed to detect red flags that four associated persons forged and falsified hundreds of signatures, FINRA says.
October 06, 2025
FINRA Suspends Ex-NY Life Rep Over Expense ReportsThe rep charged more than $4,000 in personal expenses to his corporate credit card, FINRA says.
October 06, 2025
Thousands of Robinhood Users Report OutageUsers reported problems with the brokerage site on mobile and desktop as the market opened.
October 02, 2025
Phony Advisor Pleads Guilty to Defrauding 64 InvestorsThe 24-year-old falsely presented himself as an advisor and claimed to work with a real brokerage.
October 02, 2025
6 Big FINRA Moves in 2025FINRA is tweaking a number of rules, including those around office supervision and gifting.