Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Cetera Hit With Class-Action Suit Over Cash Sweep Program
By Melanie WaddellThe BD paid interest rates as low as 0.06% as the federal funds rate surged, the suit says.
June 01, 2026
Ex-Stifel Rep Settled Complaints, Failed to Tell Firm: FINRAJennifer Basey paid a married couple more than $1,300 over stock losses and a commission charge, an order states.
May 29, 2026
Retired Police Officer, Firefighter Seek Arrest of Barred AdvisorThe advisor stole nearly $1 million from them, the Oklahoma City first responders said.
May 29, 2026
Robinhood CFO Says States Seek to Copy Trump AccountsShiv Verma said states have approached the company about partnering on their own investment vehicles for newborns.
May 28, 2026
Epstein Files Reveal Long-Running Ties With One Wealth ManagerPaul Morris was part of the concierge team that shepherded Epstein's wealth at two of the world's largest banks.
May 28, 2026
TradePMR Appoints New President, Head of RIA StrategyThe leadership expansion of Scott Victoria and Kate Mapstone continues the business' evolution following its acquisition by Robinhood.
May 27, 2026
Raymond James Exec Aims to Boost Indie Rep Assets, ServiceKirk Bell, the independent contractor division's new president, seeks to bolster the standard of care for its advisors.
May 27, 2026
Robinhood Launches AI Stock Trading, Purchases on Credit CardsClients will soon be able to establish agentic trading accounts that are entirely separate from their standard portfolios.