Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Commonwealth Hit With Class-Action Suit Over Cash Sweeps
By Melanie WaddellThe complaint claims breach of fiduciary duty, breach of contract, violations of consumer protection statutes and unjust enrichment.
June 22, 2026
Stifel Pays $3M to Settle Claim Over Barred Broker's Structured Notes StrategyAfter a $133 million award in April, the firm faces up to 19 additional complaints tied to Chuck Roberts.
June 17, 2026
FINRA Expels BD Over Reg BI ViolationsThe regulator has also barred Reid & Rudiger's co-founders for excessively trading 20 accounts.
June 16, 2026
FINRA Fines Advisor Over Undisclosed Tax Consultancy Referral FeesShuai Wang failed to timely and accurately inform Cambridge Investment Research about the fees, an order states.
June 16, 2026
Robinhood Is Latest Fintech to Cut Jobs, Eliminating 300 RolesRobinhood Markets said it's cutting 10% of its workforce to "remain lean and disciplined" as it develops new products.
June 12, 2026
FINRA Files to Make Remote Inspections PermanentThe regulator is also seeking approval on rules to modernize home office inspections and more flexible CE requirements.
June 11, 2026
PRO
Stifel's Rogue Broker Fiasco Highlights Risks of Structured Notes"It appears as though the inmates were running the asylum with respect to this product," a plaintiffs attorney says.
June 09, 2026
Growth in Dual Registrants Makes Sense: FINRA CEORobert Cook talked with FSI's Dale Brown about the convergence of the BD and IA models.