Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Osaic Pulls $200M Du Lac Wealth Services From LPL
By Rob BurgessDu Lac Wealth, based in North Carolina, is the sixth firm to leave LPL for Osaic this year.
May 01, 2026
LPL Still Pushing to Keep 90% of Commonwealth Assets: CEOTotal assets jumped 30% year over year to $2.3 trillion in Q1, but recruited assets fell 55%.
May 01, 2026
Reverence Capital Closes $2B-Plus Osaic RecapitalizationThe transaction seeks to deliver liquidity to existing investors and fund Osaic's long-term growth.
April 30, 2026
FINRA Releases One-Year Progress Report on Rulebook RevampThe report details measures that have been finalized as well as those that are in the works.
April 28, 2026
LPL Rolls Out Military-Deployment Practice Support ProgramThe program aims to support advisors and their firms when they're deployed.
April 27, 2026
Ex-LPL Rep Suspended Over Outside Business ActivityJames Robert Ptacek Jr. did not disclose his role on the board of a streaming company, FINRA states.
April 23, 2026
LPL: Phishing Breach Led to Unauthorized TransactionsLPL said it restored affected accounts to their original financial positions.
April 23, 2026
Branch Manager Suspended at Firm Accused of Widespread ChurningA New York branch manager failed to supervise 39 reps' trading misconduct, FINRA's order states.