Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
$133M Award Against Stifel Should Stand, Judge Says
By Dinah Wisenberg BrinThe magistrate judge's opinion addresses a FINRA arbitration award tied to a barred advisor.
February 03, 2026
FSI Wants These Advisor Rules Modernized in 2026Two big priorities: Off-channel communications and an updated accredited investor definition.
February 02, 2026
Ameriprise Sees a 'Competitive' Advisor Recruitment MarketLife and annuity sales rose 6%.
February 02, 2026
FINRA Fines BD $750K Over TextingBenjamin Edwards didn't supervise employees' messaging nor preserve and review reps' business-related texts, the order states.
January 30, 2026
FINRA Hits Another BD With Reg BI, Form CRS FineGMS Group fell short on written supervisory procedures, according to the regulator.
January 28, 2026
Raymond James Launches AI Operations AgentDubbed Rai, the tech uses natural language processing and generative AI to support advisors' daily work.
January 26, 2026
Nearly 700 Commonwealth Reps Left LPL Last Year. Here's Where They Landed.A sizable portion of the departing financial professionals moved into RIAs or RIA-centric models.
January 26, 2026
Ex-Stifel Rep Steered Older Clients to Costly Brokerage Trades: FINRAJonathan Webster placed trades in commission-based accounts rather than less expensive fee-based ones, a suspension order states.