Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
At House of Dimon, Troy Rohrbaugh Makes His Play for the Top Job
By Sridhar Natarajan and Max AbelsonOn Thursday, Rohrbaugh became the bank's co-president and now leads its sprawling consumer business after Marianne Lake's departure.
June 24, 2026
Commonwealth Hit With Class-Action Suit Over Cash SweepsThe complaint claims breach of fiduciary duty, breach of contract, violations of consumer protection statutes and unjust enrichment.
June 22, 2026
JPMorgan Fights $4M FINRA Award to Rep Fired Over Super Bowl PartyThe bank argued it "had ample reason to terminate" Brent Ryan Bodner for misrepresenting the nature of an expense.
June 22, 2026
Ex-Broker Pleads Guilty to Robbing Bank With Fake BombScott Charles Tunis reportedly had been experiencing financial stress and self-medicating with alcohol.
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.