Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Gets Restraining Order Against Ex-Intern Accused of Defamation
By Dinah Wisenberg BrinThe court barred the former intern from going within 100 yards of firm offices and two employees.
January 17, 2025
Goldman Rakes In Record Wealth RevenueTotal wealth management client assets stood at around $1.6 trillion at year-end.
January 17, 2025
SEC Fines LPL $18M for AML ViolationsLPL failed to close or restrict thousands of prohibited high-risk accounts, according to the SEC.
January 16, 2025
New Raymond James Program Seeks to Support Tampa Bay EducationThe firm has committed $7.5 million to nonprofits that support success within and outside the classroom.
January 14, 2025
Ex-Intern Waged Smear Campaign Against Raymond James, Suit AllegesPhony email campaigns suggested two employees were convicted rapists with neo-Nazi ties, the firm's defamation suit says.
January 08, 2025
Edward Jones to Pay $17M Over Front-Load CommissionsThe firm charged some clients when moving A shares from brokerage to advisory accounts, 14 state regulators found.
January 03, 2025
JP Morgan Loses $39.7M Arbitration Against Barred BrokerThe financial services firm claimed that Edward Turley, a former advisor, "unjustly enriched himself by brazenly lying."
December 16, 2024
When Disaster Strikes, Raymond James Gets to (Volunteer) WorkEmployees “were literally ripping out [soaked] drywall” after Hurricane Helene, Private Client Group president Tash Elwyn says.