Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Cetera Adds 'RIA and Branches' Channel
By John ManganaroJen Hanau, a veteran of Mariner, Fidelity and Schwab, has been brought on board to lead the unit.
June 09, 2025
LPL, Edward Jones Among 5 Firms Ordered to Pay $29M Over Excessive CommissionsThe firms charged nearly $19 million in unreasonably high commissions over five years, state regulators say.
June 03, 2025
Goldman, Morgan Stanley and JPMorgan Laying Off Staff in JuneHundreds of positions are being cut in New York and New Jersey.
June 02, 2025
Ameriprise Fights LPL Advisors' Request to Block Device SearchAmeriprise is pushing back against anonymous LPL advisors filing to intervene in LPL's forensic review of advisors' devices.
June 02, 2025
Supreme Court Rebuffs Challenge to FINRA's AuthorityThe justices turned away an appeal from Alpine Securities, allowing a FINRA case against the BD to proceed.
May 28, 2025
RBC Wealth Lands $1.6B UBS GroupThe team comes on board in Boise, Idaho, with eight members.
May 27, 2025
Navigating the Shifting Broker-Dealer Landscape: What Advisors SeekAmid industry consolidation and misaligned interests, advisors prioritize stability, control, culture, and client focus in their BD partnerships.
May 27, 2025
FSI Launches Next-Gen Career WebsiteFinancialCareers.org is an online career center that connects qualified job seekers with firms.