Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
American Portfolios to Pay $1.75M for Overbilling, False Compliance Reviews
By Melanie WaddellAmerican Portfolios overbilled on alts, failed to disclose payments to an affiliate BD and backdated compliance reviews, the SEC said.
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.
July 07, 2025
JPMorgan to Cut Another 88 Jobs in Jersey CityThe banking giant says it's looking to "redeploy" affected employees.
July 02, 2025
Osaic Exec Disputes Details of Multibillion-Dollar AmeriFlex SplitReports of a surprise $12 billion exodus are inaccurate, Osaic wealth exec Greg Cornick says.
July 01, 2025
Rep Fined, Suspended for Not Disclosing Outside Business ActivityThe rep was a trustee to the estate of a deceased Cambridge customer without prior notice, FINRA says.
July 01, 2025
Ex-LPL Advisor Suspended After Family Named as Client's BeneficiariesA client designated the advisor's wife as primary beneficiary on six LPL accounts, FINRA says.
June 27, 2025
$1.1B UBS Team Moves to RBC WealthThe nine-member Centennial Wealth Management Group joins a new branch office in suburban New York.
June 27, 2025
LPL Cutting 70 Jobs in San DiegoThe layoffs will affect mostly senior and management positions, a local paper reported.