Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Bars Ex-Morgan Stanley Advisor Over Refusal to Share Info for Probe
By Dinah Wisenberg BrinThe advisor joined an RIA the month after his Morgan Stanley dismissal.
February 24, 2026
LPL Expands Partnership With AnthropicThe announcement came as Anthropic announced new wealth management-focused plugins for its AI assistant, Claude.
February 19, 2026
United Planners Signs On to AI Platform Founded by 4 Fintech VeteransHamachi.ai was founded in 2025 by Eric Clarke, Brian McLaughlin, Mike Wilson and Mustapha Baassiri.
February 18, 2026
Advisors Adding Retirement Plan Participants as Wealth Clients: StudyWhile few advisors counsel DC plans, they're making progress in converting enrollees into clients.
February 18, 2026
Rep Forged 64 Client Signatures on 115 Annuity Applications: FINRAAvinesh Shankar of Pruco Securities received $511,610 in commissions he was not entitled to, a complaint states.
February 18, 2026
SEC Approves FINRA Gift Limit Boost to $300The previous $100 limit had been in effect since 1992.
February 17, 2026
New FINRA Plan Allows BDs to Market Performance ProjectionsThe amendments help align communications and marketing materials with the SEC's marketing rule, says attorney Ben Marzouk.
February 17, 2026
LPL Lays Off 3% of Workforce 'Across All Areas'Based on LPL's year-end headcount, roughly 300 people were likely dismissed.