Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Underpaid Employees, Lawsuit Claims
By Dinah Wisenberg BrinAn LPL support specialist alleges the firm short-changes employees on sick pay, overtime and expense reimbursement.
July 17, 2025
Cetera Launches Suite of AI-Powered ToolsThe firm says IntelligenceEngine combines advanced analytics, planning technology and client engagement tools.
July 16, 2025
Best & Worst BDs for Financial Advisor Satisfaction: J.D. Power, 2025Younger advisors want more support from their firms, the research group finds.
July 14, 2025
Stifel Advisor Linked to $132M Arb Award Has Left the FirmArbitration awards and judgments involving Chuck Roberts exceed $166 million, his FINRA BrokerCheck record shows.
July 14, 2025
American Portfolios to Pay $1.75M for Overbilling, False Compliance ReviewsAmerican Portfolios overbilled on alts, failed to disclose payments to an affiliate BD and backdated compliance reviews, the SEC said.
July 11, 2025
Why the Number of BDs Could Drop 20% in 5 Years"Clients, financial advisors, firms and the media all seem to favor the RIA model," consulting exec Chip Roame says.
July 11, 2025
Stifel Hit With Suit Over Excessive 401(k) Plan Fees, Fund OptionsEmployees say the average fee of $79 is 182% higher than that of comparable retirement plans.
July 08, 2025
Goldman Hires Former UK Prime Minister SunakSunak, who will serve as a senior advisor, previously worked at the bank as an intern and analyst.