Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Ex-LPL RIA Worker Pleads Guilty in Double Murder
By Dinah Wisenberg BrinA jury trial will determine if the defendant was legally sane when the victims were slain in 2022.
April 03, 2026
Ameriprise to Pay Nearly $1.5M Over Annuity Switches: FINRAThe exchanges involved variable annuities tied to contracts with guaranteed lifetime withdrawal benefit riders, FINRA's order states.
April 01, 2026
Driver Crashes Into Edward Jones Building in South CarolinaA person was arrested Tuesday night after driving into the building in North Augusta, according to a local news report.
April 01, 2026
Ex-Ameriprise Client Files Class Action Over Data IncidentA lawsuit contends that a cybercriminal group compromised clients' sensitive information.
March 31, 2026
Cetera Taps Zocks' AI Assistant for AdvisorsThe firm's financial professionals can now automate administrative, meeting and client onboading tasks.
March 31, 2026
FINRA Launches Cyber PortalThe platform "will collect, analyze and disseminate threat intelligence" to help broker-dealers respond to attacks, the regulator says.
March 27, 2026
Morgan Stanley Gets FINRA Waiver From Disqualification After $15M SEC SettlementThe regulator approved the firm's request to remain an industry member; LPL received a waiver in January.
March 27, 2026
Cetera Discloses Data BreachThe unauthorized access at the wealth management firm involved one employee email account.