Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Ameriprise Advisor Tricked by Phishing Scam
By Dinah Wisenberg BrinIt was the firm's second report of a phishing-related data breach in as many months.
February 09, 2026
$133M Award Against Stifel Should Stand, Judge SaysThe magistrate judge's opinion addresses a FINRA arbitration award tied to a barred advisor.
February 09, 2026
Ameriprise to Oversee $28B in Huntington Bank Investment AssetsThe relationship involves 260 advisors and retail brokerage, advisory and insurance services.
February 05, 2026
FINRA to Send E-Delivery Rule Updates to SECBroker-dealers would be allowed to make e-delivery their default method when sending investor disclosures and other communications.
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.