Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Edward Jones Opening 4 Specialized HNW Offices
By Michael S. FischerThe firm will also beef up its advisor training in advanced planning and complex products.
September 05, 2025
JPMorgan to Cut 58 More Jobs in New JerseyThe layoffs at the bank follow nearly 330 previously announced job cuts in the state.
September 04, 2025
Stifel Adds Ex-Merrill Exec and $1B of His Investment Firm's AssetsLaunny Steffens will lead asset management; Stifel will acquire AUM from his firm, Spring Mountain Capital.
September 03, 2025
JPMorgan Lays Off 99 In San FranciscoThe company has added thousands of positions overall and has more than 14,000 openings.
September 02, 2025
FINRA Fines, Suspends Ex-Rep Over Texting, Unauthorized TradesJoseph Warner Rozof made discretionary trades in clients' accounts and texted about transactions, according to FINRA.
August 28, 2025
Edward Jones Lays Off Hundreds of Home Office EmployeesThis week's job cuts are tied to hundreds more voluntary separations that took placce earlier this year, the firm said.
August 25, 2025
U.S. Bancorp Unit Fined $500K, Censured Over Suspicious Activity ReportsThe firm incorrectly used the reporting threshold for banks rather than broker-dealers, FINRA reported.
August 20, 2025
Citi Wealth Head Sieg Faced Conduct Probe by Law Firm: ReportAmong other complaints, Sieg was accused of making a managing director cry, Bloomberg reported.