Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Baird Adds $1B Team in Indianapolis
By Rob BurgessThe three-person team was previously at Goelzer Investment Management in Carmel, Indiana.
April 17, 2026
Barred Oregon Broker Accused of Stealing Over $1.6M From ClientsJeffrey Thomas Higgins is charged with selling clients' stock and taking the proceeds over roughly 17 years.
April 14, 2026
PRO
Why LPL's Mariner Advisor Network Acquisition Is a Big Deal"The line between hosting advisors and owning advisor networks is getting thinner," said Datos Insights' William Trout.
April 14, 2026
LPL to Acquire Mariner's $31B Advisor NetworkLPL-affiliated Mariner Advisor Network supports 367 advisors, including hybrid pros who will shift to Private Advisor Group's hybrid RIA.
April 13, 2026
LPL's Recruiting Chief to DepartScott Posner, who joined the firm in 2008, will stay through June to assist with a transition.
April 09, 2026
Ex-LPL RIA Worker Pleads Guilty in Double MurderA jury trial will determine if the defendant was legally sane when the victims were slain in 2022.
April 07, 2026
Ex-Raymond James Rep in Hot Water Over Account Conversions: FINRAPaul Snow switched 13 advisory accounts to brokerage accounts and made trades without disclosing material facts, an order states.
April 03, 2026
Ex-Edward Jones Advisor Pleads Guilty in Nearly $10M Fraud CaseEijroghene Okuma siphoned funds from an elderly client over three years, prosecutors say.