Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
RBC to Pay $275K Over Anti-Money Laundering Failures
By Melanie WaddellOver seven years, a FINRA order states, the firm did not have an AML compliance program "reasonably designed to detect and cause the reporting of suspicious transactions."
July 28, 2026
Edward Jones Asks Court to Compel 6 Black Advisors to Arbitrate Bias ClaimsA putative class-action lawsuit contends that the financial services firm discriminates in compensation, firings and promotions.
July 28, 2026
BD Fined $70K Over Reg BI Violations, Annuity Switches: FINRAThe Logan Group, an order states, failed to collect and consider client information related to recommended deferred variable annuities.
July 24, 2026
Ameriprise CEO: Some Advisor Firm Deals Look 'Crazy'Jim Cracchiolo described the overall business environment as "positive but dynamic" during the firm's recent earnings call.
July 24, 2026
Cetera Names Head of Tax-Focused TeamCraig Bartlett will take the helm of Cetera Financial Specialists within the broker-dealer's tax and accounting channel.
July 23, 2026
Why AI Helps Advisor Value: Stifel CEORecruiting remains very competitive, Ron Kruszwekski maintains, even as fears over the technology's effects have plagued the industry.
July 23, 2026
Robinhood Prediction Market Revenue to Top Crypto: AnalystsAnalysts over the past few months highlighted a shift toward prediction markets on exchanges like Robinhood.
July 21, 2026
Hybrid Remains the Most Popular Advisor Channel: AdvizorProAbout 31% of wirehouse advisors are women, versus 19% of independent RIAs, a new report finds.