Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Ameriprise to Pay Nearly $1.5M Over Annuity Switches: FINRA
By Melanie WaddellThe exchanges involved variable annuities tied to contracts with guaranteed lifetime withdrawal benefit riders, FINRA's order states.
March 31, 2026
Cetera Taps Zocks' AI Assistant for AdvisorsThe firm's financial professionals can now automate administrative, meeting and client onboading tasks.
March 31, 2026
FINRA Launches Cyber PortalThe platform "will collect, analyze and disseminate threat intelligence" to help broker-dealers respond to attacks, the regulator says.
March 27, 2026
Morgan Stanley Gets FINRA Waiver From Disqualification After $15M SEC SettlementThe regulator approved the firm's request to remain an industry member; LPL received a waiver in January.
March 27, 2026
Cetera Discloses Data BreachThe unauthorized access at the wealth management firm involved one employee email account.
March 26, 2026
BD to Pay $600K Over Unapproved MessagingBTGI failed to reasonably supervise employees' use of unapproved communications platforms for business purposes, FINRA states.
March 25, 2026
Court Refuses to Vacate $133M Arbitration Award Against StifelThe FINRA award was tied to former financial advisor Chuck Roberts.
March 25, 2026
Edward Jones Saw Uptick in Senior Advisor Exits in 2025: ReportPossible drivers include retirement, changes at the firm and a desire to own their books, Muriel Consulting suggests.