Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Ex-LPL Rep Suspended Over Outside Business Activity
By Melanie WaddellJames Robert Ptacek Jr. did not disclose his role on the board of a streaming company, FINRA states.
April 21, 2026
Baird Adds $1B Team in IndianapolisThe three-person team was previously at Goelzer Investment Management in Carmel, Indiana.
April 20, 2026
Ameriprise Data Breach Affected Nearly 48,000Two lawsuits sparked by the March incident have been dropped, court records show.
April 20, 2026
Stifel Settles With Investors in Structured Notes CaseThe investors won a $133M arbitration award tied to barred broker Chuck A. Roberts' risky strategy.
April 17, 2026
Barred Oregon Broker Accused of Stealing Over $1.6M From ClientsJeffrey Thomas Higgins is charged with selling clients' stock and taking the proceeds over roughly 17 years.
April 14, 2026
Why LPL's Mariner Advisor Network Acquisition Is a Big Deal"The line between hosting advisors and owning advisor networks is getting thinner," said Datos Insights' William Trout.
April 14, 2026
LPL to Acquire Mariner's $31B Advisor NetworkLPL-affiliated Mariner Advisor Network supports 367 advisors, including hybrid pros who will shift to Private Advisor Group's hybrid RIA.
April 13, 2026
LPL's Recruiting Chief to DepartScott Posner, who joined the firm in 2008, will stay through June to assist with a transition.