Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Seeks to Revamp Controversial Arbitration Rules
By Melanie WaddellPIABA's president called FINRA's comment request "a transparent attempt to gut a host of key investor protection safeguards."
February 27, 2026
Wescom Financial to Lay Off 71 in CaliforniaThe credit union, which uses LPL as a broker-dealer and clearing partner, will cut jobs starting April 21.
February 27, 2026
Financial Firms' Shares Walloped by More 'Cockroach' Credit Woes, AIThe combination delivered another bruising selloff in shares of banks and asset managers Friday.
February 27, 2026
NewEdge Adds $1B Ameriprise Team in New YorkLast month, the RIA nabbed a 24-person Ameriprise group with $1.4 billion in client assets in Tennessee.
February 27, 2026
Stifel Faces up to 19 More Claims Tied to Barred BrokerThe BD is also still fighting a cash-sweep lawsuit, according to its annual report.
February 26, 2026
FINRA Bars Ex-Morgan Stanley Advisor Over Refusal to Share Info for ProbeThe advisor joined an RIA the month after his Morgan Stanley dismissal.
February 26, 2026
DOL Releases New Indie Contractor Rule ProposalLabor is taking comments on the plan until April 28.
February 24, 2026
SEC Closes LPL Cash Sweep ProbeThe firm still faces class action lawsuits over low rates paid on cash and says it will defend itself.