Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Ex-UBS Rep Suspended, Fined for Exceeding Personal Credit Card Limit
By Melanie WaddellTimothy R. Jones circumvented firm systems to go over his authorized limit, FINRA states.
November 19, 2025
11 Best & Worst Broker-Dealers: Q3 Earnings, 2025BD earnings in the quarter rose as much as 74% from a year ago.
November 19, 2025
LPL Takes Minority Stake in Private Advisor GroupLPL joins Merchant Investment Management as a minority owner of the financial services firm, alongside legacy shareholders.
November 17, 2025
Ex-Fidelity Rep Suspended, Fined Over Outside Business ActivityThe rep made $13,000 selling an automated trading algorithm, FINRA said.
November 17, 2025
Ex-Broker Admits to Insider Trading Scheme Born From PandemicJordan Meadow admitted he traded on information stolen by a friend from his girlfriend’s computer.
November 14, 2025
Ex-Raymond James, Morgan Stanley Rep in Hot Water Over LoansSuspended rep Kirk Crossen faces additional disciplinary action for borrowing $400,000 from an elderly client, FINRA says.
November 14, 2025
LPL Launches Cash Management Account With Banking, Investing FeaturesLPL says the account allows clients to manage uninvested funds more efficiently.
November 12, 2025
FINRA Bars Ex-Spartan Capital RepRonald Smith failed to provide all requested information, including electronic communications, concerning excessive trades, FINRA said.