Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Calls Ameriprise Data-Breach Notices 'Defamatory'
By Melanie Waddell"Ameriprise has sunk to a new low" by sending breach notices to clients whose advisors switched firms, LPL says.
April 08, 2025
Fired Edward Jones Broker Charged With Fraud, Money Laundering in Alleged Theft From WidowJohn Winslow is accused of taking over $920,000 from a client and trading gold coins to conceal it.
April 08, 2025
Raymond James Adds 3 Teams With $2B in AssetsThe employee advisors joined the firm recently from Merrill, Morgan Stanley and RBC.
April 07, 2025
LPL Strikes Deal With First Horizon BankThe bank's 110 advisors work with roughly $16 billion of assets in 12 states.
April 03, 2025
Wells Fargo Advisors Nabs LPL Recruiting ExecFarhad Firoozi joined the wirehouse on Tuesday and will focus on growing its independent advisor channel.
April 02, 2025
Cetera Taps Wealth.com Platform for Enhanced Estate PlanningThe move supplies Cetera’s 12,000 advisors with simplified and modernized legacy planning capabilities for their clients.
April 02, 2025
Commonwealth Wins Reversal of $93M SEC Revenue Sharing PenaltyA court last year found Commonwealth liable for failing to disclose a mutual fund revenue-sharing pact.
March 31, 2025
Recruiter Tells Commonwealth, LPL Advisors: Don't PanicWhile the acquisition will have broad implications, LPL is an "absolute pro" at integrating advisors, Louis Diamond says.