Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Suspends Rep for Excessive Trading in Retiree's Account
By Melanie WaddellGary Talbot of Spartan Capital recommended a series of transactions that violated Regulation Best Interest, an order states.
August 11, 2026
11 Best & Worst Broker-Dealers: Q2, 2026Most of the financial services industry's biggest firms topped analysts' profit estimates in the latest quarter.
August 10, 2026
Stifel Forks Over $3.6M to Settle More Claims Tied to Barred BrokerTwo additional settlements were paid in July in the ongoing Chuck Roberts dispute.
August 07, 2026
Citi Cuts 268 Jobs at NY Headquarters, Part of Ongoing LayoffsCiti's overall headcount is down nearly 5% this year, the bank reported recently.
August 04, 2026
$3.5B Team Joins Cetera to Launch RIAThe team — New York-based iTP Partners — joins from Osaic.
August 03, 2026
FINRA Bars Ex-Ameriprise Advisor Charged in Gambling BustElias Chris Gerodemos refused to provide documents after being charged with involvement in an illegal sports betting operation.
July 31, 2026
LPL Aims to 'Get Into More Conversations' With Wirehouse, Regional Reps: CEO"We continue to be the disproportionate winner in our traditional markets" for advisor recruiting, said Rich Steinmeier on the firm's latest earnings call.
July 31, 2026
LPL Debuts Unified Tech PlatformA core asset of LPL Latitude is Cyan, LPL's AI agent, which is set to launch later this year.