Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
BD Hit With $65K Fine Over Reg BI, Email, Outside Business Violations
By Melanie WaddellJ.K. Financial omitted information from Form CRS,, among other failures, according to FINRA.
October 16, 2025
BofA, BNY Sued Over Alleged Ties to Epstein Sex-TraffickingClass-action lawyers accuse Bank of New York of processing $387 million in payments to women trafficked by the financier.
October 15, 2025
More Rule Changes Coming: FINRA Chief"We're looking at a wide range of areas, again based on feedback from our members," Robert Cook says.
October 14, 2025
6 Wealth Management M&A Trends to WatchDealmaking is on track to hit another record in 2025, MarshBerry reports.
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.