Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Goldman Sachs Boosts CEO David Solomon's Pay to $47M
By Todd GillespieThe figure tops the $43 million awarded to JPMorgan CEO Jamie Dimon for 2025.
January 22, 2026
Trump Sues JPMorgan for $5B Over Debanking ClaimsBeyond closing accounts, the bank placed the president and family members on a wealth management "blacklist," the complaint says.
January 21, 2026
Lawsuit Says United Planners, Advisor Steered Retirees to High-Risk InvestmentsThe complaint, seeking class-action status, alleges securities fraud and RICO violations.
January 20, 2026
$1B Team Departs Raymond JamesRegulatory filings show the firm, led by Benjamin Cohen as managing partner, will custody with Schwab and Fidelity.
January 20, 2026
FINRA Sends Revised Outside Business Activity Rule to SECFINRA's new plan clarifies "a number of sticking points," including supervisory requirements for outside RIA activity, says ACA's Cooke.
January 20, 2026
Cetera Fined $1.1M Over AML, Other Failures: FINRACetera Advisors, Cetera Wealth Services and Cetera Investment Services were cited for supervisory compliance issues.
January 15, 2026
Raymond James to Buy $46B Clark Capital ManagementThe firm will become an independent boutique investment manager within Raymond James Investment Management.
January 13, 2026
Dimon Tells Investors to 'Trust Me' on JPMorgan's CostsThe bank faces higher expenses tied to incentive compensation for advisors and investments in AI.